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Violation Tracker Individual Record

Company: Stock Option Academy dba Stock Option Coach
Penalty: $435,000
Year: 2023
Date: May 1, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The individual dba Stock Option Academy was ordered to pay $435,000 in administrative penalties in a Final Order finding that the business provided investment advisory services to clients without holding a broker-dealer or investment adviser certificate from the Commission.
Level of Government: state
Action Type: agency action
Agency: California Department of Financial Protection and Innovation
Civil or Criminal Case: civil
Facility State: California
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.