Violation Tracker Individual Record

Company: 
M.A.G. Capital LLC
Penalty: 
$100,000
Year: 
2009
Date: 
March 3, 2009
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

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 Notes: 
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Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.