What is a possible outcome if a brokerage is found guilty of violating antitrust law?

A brokerage found guilty of violating antitrust law is subject to various legal consequences that can impact its operations and finances. One possible outcome is that the brokerage may indeed have to undergo court-ordered supervision for a designated period, which can be as lengthy as 10 years. This supervision often includes monitoring by court-appointed officials to ensure compliance with antitrust laws and to prevent future violations.

This outcome serves to hold the brokerage accountable while allowing it the opportunity to rectify its practices. Court supervision typically involves regular reporting, audits, and other forms of oversight to enforce compliance and ensure that the brokerage adopts fair practices moving forward, thus protecting the competition and the marketplace.

In contrast, while fines and penalties are a likely consequence of antitrust violations, they typically do not encompass lengthy supervision. The potential for losing a brokerage license permanently is more severe and less common for first-time offenders, as penalties typically range from monetary fines to restrictions rather than outright license revocation. Warnings are often given for minor infractions, but antitrust violations usually elicit more severe repercussions given the serious nature of the offense.