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Violation Tracker Individual Record

Company: Wall Street Access
Penalty: $97,523
Year: 2022
Date: February 15, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission announced that six investment advisers and six broker-dealers have agreed to settle charges that they failed to file and deliver client or customer relationship summaries known as Form CRS to their retail investors by the required deadline and, in some cases, failed to include all information necessary to satisfy Form CRS requirements.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.