Violation Tracker Individual Record
Company:
Fox & Company Investments Inc.
Penalty:
$45,000
Year:
2009
Date:
March 23, 2009
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Violation Description:
FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA's (then NASD's) firm self-assessment of mutual fund breakpoint discount compliance.
Level of Government:
federal
Action Type:
agency action
Agency:
Financial Industry Regulatory Authority
Civil or Criminal Case:
civil
Notes:
FINRA is a securities industry self-regulatory body authorized by the federal government.
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
