Violation Tracker Individual Record
Company:Banco Espirito Santo S.A.
Date:October 24, 2011
Offense Group:financial offenses
Primary Offense:investor protection violation
Banco Espirito Santo S.A. agreed to settle alleged violations of the broker-dealer and investment adviser registration provisions and the securities transaction registration provisions of the federal securities laws.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:Portugal
Ownership Structure of Parent:out of business
Major Industry of Parent:financial services
Specific Industry of Parent:banking
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