Violation Tracker Individual Record

Company: 
Convergent Wealth Advisors LLC
Penalty: 
$800,000
Year: 
2016
Date: 
December 19, 2016
Primary Offense: 
fraud
Level of Government: 
federal
Action Type: 
agency action
Agency: 
Commodity Futures Trading 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.