Violation Tracker Individual Record
Company:Monterey Bay Securities, Inc.
Date:May 28, 2008
Offense Group:financial offenses
Primary Offense:investor protection violation
Monterey Bay Securities and its owner were ordered to pay $300,231 in restitution, penalties and costs in an Administrative Law Decision finding that it failed to keep correct records and deceptively sold unqualified securities while unlicensed.
Level of Government:state
Action Type:agency action
Agency:California Department of Financial Protection and Innovation
Civil or Criminal Case:civil
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