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Violation Tracker Individual Record

Company: Rothlin & Windsor Capital Management, Inc.
Penalty: $13,924,051
Year: 2002
Date: December 23, 2002
Offense Group: competition-related offenses
Primary Offense: fraud
Secondary Offense: securities issuance or trading violation
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: 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.