Violation Tracker Individual Record
: Prager, Sealy & Co., LLC
: June 29, 2005
: financial offenses
: investor protection violation
: financial institution supervision failures
: NASD censured and fined 20 securities firms a total of $1.65 million for late and/or inaccurate reporting of tens of thousands of municipal securities transactions to the Municipal Securities Rulemaking Board.
Level of Government
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
Source of Data
: (click here)
: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
: 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