Violation Tracker Individual Record

Company: 
Strategic Capital Group LLC
Penalty: 
$586,290
Year: 
2014
Date: 
September 18, 2014
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

An investment advisory firm located outside Tacoma, Wash., settled allegations of engaging in hundreds of principal transactions through its affiliated broker-dealer without informing clients or obtaining their consent.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.