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Violation Tracker Individual Record

Company: Carr Miller Capital, LLC
Penalty: $2,340,000
Year: 2013
Date: October 9, 2013
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Car Miller Capital, LLC was ordered to pay $2.34 million to settle allegations by the Bureau of Securities that it was involved in a Ponzi scheme to defraud investors. The individuals who operated the company were fined separately.
Level of Government: state
Action Type: agency action
Agency: New Jersey Bureau of Securities
Civil or Criminal Case: civil
Facility State: New Jersey
Facility City: Marlton
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.