Violation Tracker Individual Record
Company:Highland Capital Group, Inc.
Date:February 19, 2019
Offense Group:financial offenses
Primary Offense:investor protection violation
Highland Capital Group, along with its owner, was ordered to pay $270,000 in administrative penalties in a default judgment of charges it failed to comply with multiple requirements for acting as an investment adviser.
Level of Government:state
Action Type:agency action
Agency:California Department of Financial Protection and Innovation
Civil or Criminal Case:civil
Facility City:Los Angeles
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