Violation Tracker Individual Record
Date:December 26, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
The SEC announced sanctions against a New York-based brokerage firm for ignoring red flags and paying more than $400,000 in soft dollars for expenses that an investment adviser had not properly disclosed to clients.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
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