Violation Tracker Individual Record

Company: 
AGB Partners LLC
Penalty: 
$50,000
Year: 
2010
Date: 
January 26, 2010
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Secondary Offense: 
securities issuance or trading violation
Violation Description: 

Two California investment advisory firms agreed to settle allegations of engaging in improper short selling of securities in advance of their participation in a company's secondary offering.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
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.