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Advanced SearchViolation 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
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