Violation Tracker Individual Record
Company:First Allied Securities, Inc.
Date:March 5, 2010
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
A San Diego-based broker-dealer agreed to pay $1.95 million to settle allegations of failing to reasonably supervise one of its registered representatives who engaged in unauthorized fraudulent trading in the accounts of two Florida municipalities.
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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