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Violation Tracker Individual Record

Company: Equitas Capital Advisers LLC
Penalty: $225,000
Year: 2013
Date: October 23, 2013
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The SEC sanctioned three investment advisory firms for repeatedly ignoring problems with their compliance programs.
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.