Violation Tracker Individual Record
Company:M.A.G. Capital LLC
Date:March 3, 2009
Offense Group:financial offenses
Primary Offense:investor protection violation
Los Angeles-based investment adviser M.A.G. Capital LLC agreed to pay $100,000 to settle allegations that it took warrants from three hedge funds it advised without compensating the funds for them.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
Source of Data:
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