Violation Tracker Individual Record
Company:
First Montauk Securities Corporation
Penalty:
$7,000
Year:
2002
Date:
March 21, 2002
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Level of Government:
state
Action Type:
agency action
Agency:
North Dakota Securities Department
Civil or Criminal Case:
civil
Facility State:
North Dakota
Source of Data:
https://www.nd.gov/securities/sites/default/files/enforcement/first-montauk-securities-corp-consent-order.pdf
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
