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Violation Tracker Individual Record

Company: Bell Rock Capital, LLC
Penalty: $1,509,048
Year: 2023
Date: November 16, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission reached settlements in its case against Defendant Bell Rock Capital, LLC and its principal for operating a multi-year cherry-picking scheme that defrauded Bell Rock clients.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.