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 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.