Violation Tracker Individual Record
Company:AGB Partners LLC
Date:January 26, 2010
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
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 of Data:
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