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Violation Tracker Individual Record

Company: CNE Enterprises, LLC
Penalty: $630,240
Year: 2013
Date: September 5, 2013
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: CNE Enterprises and one individual were ordered to pay a $300,000 penalty and refund approximately $330,240 to investors in an Order finding they fraudulently sold unregistered securities in the state without being a registered broker-dealer.
Level of Government: state
Action Type: agency action
Agency: Hawaii Securities Enforcement Branch
Civil or Criminal Case: civil
Facility State: Hawaii
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.