Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Newbridge Alliance, Inc. and United States Capital Trust, LLC
Penalty: $3,381,179
Year: 2014
Date: March 31, 2014
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading 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.