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Violation Tracker Individual Record

Company: Aralia Securities, Ltd. And Vintage Bullion DMC
Penalty: $100,000
Year: 2021
Date: December 27, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: engaging in wash sales and non-competitive transactions
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.