Violation Tracker Individual Record
Company:Focus Point Solutions and The H Group
Date:September 6, 2012
Offense Group:financial offenses
Primary Offense:investor protection violation
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
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