Violation Tracker Individual Record
Company:Knelman Asset Management Group
Date:October 28, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
The SEC sanctioned three SEC-registered investment advisory firms for violating the custody rule that requires them to meet certain standards when maintaining custody of their clients' funds or securities.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
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