Violation Tracker Individual Record

Company: 
Van Wagoner Capital Management, Inc.
Penalty: 
$800,000
Year: 
2004
Date: 
August 26, 2004
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Van Wagoner Capital Management, Inc. and its president agreed to pay $800,00 to settle allegations relating to the misstatement of the valuations of certain securities held by its investment funds.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
Source Notes: 
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Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.