Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: GeaSphere LLC
Penalty: $100,000
Year: 2024
Date: April 12, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms agreed to settle the SEC's charges and pay penalties.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange 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.