Violation Tracker Individual Record
Company:ICMA-RC Services, LLC
Date:August 15, 2002
Offense Group:financial offenses
Primary Offense:investor protection violation
Level of Government:state
Action Type:agency action
Agency:Florida Office of Financial Regulation
Civil or Criminal Case:civil
Source of Data:
The payment was made to the Securities Anti-Fraud Trust Fund, but was not noted as being a fine or penalty.
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