Violation Tracker Individual Record

Company: 
First Command Financial Planning, Inc.
Penalty: 
$470,959
Year: 
2005
Date: 
December 16, 2005
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

First Command Financial Planning agreed to refund $120,958 and pay $350,000 to the California Corporations Commissioner, which is stated shall not be characterized as an administrative or civil penalty or fine, in resolution of allegations about its marketing and sales of certain unit investment trust products.

Level of Government: 
state
Action Type: 
agency action
Agency: 
California Department of Financial Protection and Innovation
Civil or Criminal Case: 
civil
Facility State: 
California
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.