Violation Tracker Individual Record
Company:Sterling Financial Investment Group
Date:October 28, 2002
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
Level of Government:federal
Action Type:agency action
Agency:Financial Industry Regulatory Authority
Civil or Criminal Case:civil
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).
Source Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.