Violation Tracker Individual Record
Date:December 4, 2012
Offense Group:financial offenses
Primary Offense:investor protection violation
ProEquities agreed to pay $435,000 to a group of states to resolve alleged violations of rules regarding the licensing of investment advisors.
Level of Government:state
Action Type:agency action
Agency:Multistate Financial Regulators Case
Civil or Criminal Case:civil
HQ Country of Parent:Japan
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:insurance
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