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Violation Tracker Individual Record

Company: Canton Hathaway LLC
Penalty: $25,000
Year: 2021
Date: July 26, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission announced that 21 investment advisers and 6 broker-dealers agreed to settle charges that they failed to timely file and deliver their client or customer relationship summaries known as Form CRS to their retail investors.
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.