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Violation Tracker Individual Record

Company: Monterey Bay Securities, Inc.
Penalty: $300,231
Year: 2008
Date: May 28, 2008
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: 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
Facility State: California
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.