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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 of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.