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Violation Tracker Individual Record

Company: Fortis Investment Management USA, Inc.
Penalty: $75,000
Year: 2009
Date: January 9, 2009
Offense Group: miscellaneous offenses
Primary Offense: data submission deficiencies
Secondary Offense: securities issuance or trading violation
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.