Violation Tracker Individual Record
: Highland Capital Group, Inc.
: February 19, 2019
: financial offenses
: 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
: agency action
: California Department of Financial Protection and Innovation
Civil or Criminal Case
: Los Angeles
Source of Data
: (click here)
: 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