Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: WallStreet*E Financial Services, Inc.
Penalty: $162,500
Year: 2010
Date: December 6, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: WallStreet*E and its owner were ordered to pay a $162,500 administrative fine in a Final Order finding it allowed unregistered brokers to deal with client accounts and did not implement required supervisory procedures.
Level of Government: state
Action Type: agency action
Agency: Florida Office of Financial Regulation
Civil or Criminal Case: civil
Case ID: 0476-S-2/10
Facility State: Florida
Facility City: Coral Gables
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.