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Violation Tracker Individual Record

Company: Focus Point Solutions and The H Group
Penalty: $1,100,000
Year: 2012
Date: September 6, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Two Portland, Oregon-based investment advisory firms and their owner agreed to pay $1.1 million to settle allegations regarding the failure to disclose a revenue-sharing agreement and other potential conflicts of interest to clients.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.