Violation Tracker Individual Record
Company:1st Global Capital Corp.
Date:November 15, 2006
Offense Group:financial offenses
Primary Offense:investor protection violation
1st Global Capital Corp. was ordered to pay a $100,000 penalty and consent to findings that it made unsuitable recommendations and sales of units of tax-advantaged qualified tuition savings plans, commonly known as Section 529 College Savings Plans.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
Source of Data:
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