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Violation Tracker Individual Record

Company: Empire Stock Transfer Inc.
Penalty: $50,000
Year: 2014
Date: April 8, 2014
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: A Las Vegas-based transfer agent firm agreed to pay $50,000 to settle allegations of disclosure failures in registration forms filed with the SEC.
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.