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Violation Tracker Individual Record

Company: Banco Espirito Santo S.A.
Penalty: $7,000,000
Year: 2011
Date: October 24, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Banco Espirito Santo S.A. agreed to settle alleged violations of the broker-dealer and investment adviser registration provisions and the securities transaction registration provisions of the federal securities laws.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.