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Violation Tracker Individual Record

Company: McLaughlin, Piven & Vogel
Penalty: $60,000
Year: 2009
Date: July 30, 2009
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: MPV was fined for failure to supervise an employee who was charged with theft and securities fraud for allegedly transfering $240,000 of a client's bonds to his own account and fleeing the country. MPV also paid full restitution to the client.
Level of Government: state
Action Type: agency action
Agency: Delaware Attorney General
Civil or Criminal Case: civil
Facility State: Delaware
Source of Data(click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.