Violation Tracker Individual Record
Company:Strategic Capital Group LLC
Date:September 18, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
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 of Data:
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