Violation Tracker Individual Record
Company:
ICMA-RC Services, LLC
Penalty:
$5,000
Year:
2002
Date:
August 15, 2002
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Level of Government:
state
Action Type:
agency action
Agency:
Florida Office of Financial Regulation
Civil or Criminal Case:
civil
Case ID:
3506-S-7/02
Facility State:
Florida
Source of Data:
Notes:
The payment was made to the Securities Anti-Fraud Trust Fund, but was not noted as being a fine or penalty.
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
