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Violation Tracker Individual Record

Company: Highland Capital Group, Inc.
Penalty: $270,000
Year: 2019
Date: February 19, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: 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 State: California
Facility City: Los Angeles
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.