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Jefferies＆Company背景信息
Jefferies＆Company由Boyd Jefferies在洛杉矶成立，但其总部很快被移至纽约。尽管当时有75％的交易是个人投资者，但杰富瑞（Jefferies）专注于被称为“第三个市场”的机构之间的直接交易。该公司还与华尔街嫉妒的直截了当委员会的谨慎协议破裂。这些举动使贾富瑞（Jefferies）脱颖而出，到1966年，这是国家第七大经纪公司。杰富瑞（Jefferies）于1983年上市，并在1980年代重组公司进行了重组。
In 1987, a widespread scandal surfaced surrounding corporate takeovers and junk bonds. Boyd Jefferies was caught up in an investigation of takeover specialist Ivan Boesky, resigned from his firm, was convicted of securities fraud and banned from the securities industry. He soon sold his Jefferies stake for $11 million. Meanwhile, the firm survived and, when that same scandal sunk Drexel Burnham Lambert, Jefferies hired 60 of Drexel’s former investment bankers.
Jefferies＆Company在1990年之后继续扩展，并且是国际，衍生品和24小时交易的早期参与者。随着资产管理服务的不断增长，该公司的重点继续是中型市场公司的机构客户和投资银行业务。2006年，Jefferies的总收入近20亿美元，市值接近40亿美元。它拥有25个美国，欧洲和环太平洋的办公室，拥有2250多名员工。有传言称的收购候选人，由于某种原因，杰富瑞（Jefferies）最近借了6亿美元。
Prime Brokerage Services是一家Jefferies子公司，可提供贸易执行，清算，簿记，报告，托管，证券借贷，融资，研究和筹款服务，并为经纪公司和其他客户（包括对冲基金）提供服务。bob200体育它通过此部门代表个人证券交易者维护专有交易帐户。bob200体育
Additional Information on Jefferies & Company
Jefferies Fined for “Partying” Fidelity Traders
Brokerage firm Jefferies & Co. Inc. was fined $5.5 million by the FINRA for providing more than $1.6 million in improper gifts and entertainment to equity traders employed by Fidelity.
FINRA officials said that, between 2002 and 2004, Jefferies showered mutual fund traders with gifts, entertainment and other perk’s in excess of $1.6 million, including chartered air travel, expensive hotels and restaurants, concerts, lavish golf weekends and other travel and expensive bottles of wine. Provided also were trips to Wimbledon, The Super Bowl, the U.S. Tennis Open and other sporting events.
FINRA声称，一名富达交易员以超过17,000美元的费用向百慕大提供了私人特许航班，费用超过17,000美元，另一个以超过47,000美元的价格送出了岛屿旅行。每晚在拉斯维加斯的贝拉吉奥酒店（Bellagio Hotel）和他在卡波圣卢卡斯（Cabo San Lucas）的Esperanza Resort上使用的两座别墅，每晚为5,000美元。
2004年，Jefferies Trader显然为休斯敦的超级碗周末相关费用支付了超过125,000美元，其中包括Maxim和Playboy赛前派对，汽车服务，私人往返货运特许航班，住宿和比赛的门票。
FINRA规则将公司和关联人员的礼物限制在每年收件人100美元中。“The value of improper gifts and entertainment in this case is unprecedented,” said the FINRA’s head of enforcement, “FINRA’s gift and gratuity rules were designed to prevent just the sort of conduct at issue here, which threatens the integrity of the relationship between a brokerage firm and its institutional customer.”
FINRA还永久禁止Jefferies Trader以任何身份与任何FINRA注册的公司建立联系，并将其前主管罚款50,000美元，并将其暂停三个月。它还命令该公司保留一名独立顾问，以审查与礼物和娱乐有关的公司的政策，程序和培训。杰富瑞及其前代理商既没有承认也没有否认这些指控，但同意芬拉的制裁。
Jefferies因违反“ Frontrunning” Reg的罚款
Jefferies＆Company，Inc。受到FINRA的谴责和罚款125,000美元，并要求修改其书面监督程序，包括关于Frontrunning，贸易报告和长/短销售额。该公司在不承认或否认指控的情况下同意制裁。
The FINRA said that, among other violations, Jefferies failed to immediately display customer limit orders in FINRAAQ securities in its public quotation when such orders were at a price that would have improved the firm’s bid or offer in each such security. The FINRA also found that the firm failed to properly record certain orders. The findings also stated that Jefferies failed to properly accept or decline ineligible securities within 20 minutes after execution.
Jefferies Fined for Trading Violations
FINRA被谴责和罚款27,500美元，被要求修改其监督程序，旨在防止违反有关贸易报告，最佳执行和限制订单显示的证券法律和法规。bob200体育该公司在不承认或否认指控的情况下同意制裁。
FINRA表示，Jefferies未能及时报告某些交易，未能指定最后的销售报告，并且未能按照FINRA的市场规则正确传输执行时间。
