Violation Tracker Individual Record
Company:Empire Stock Transfer Inc.
Date:April 8, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
A Las Vegas-based transfer agent firm agreed to pay $50,000 to settle allegations of disclosure failures in registration forms filed with the SEC.
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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