Violation Tracker Individual Record
Company:CNE Enterprises, LLC
Date:September 5, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
CNE Enterprises and one individual were ordered to pay a $300,000 penalty and refund approximately $330,240 to investors in an Order finding they fraudulently sold unregistered securities in the state without being a registered broker-dealer.
Level of Government:state
Action Type:agency action
Agency:Hawaii Securities Enforcement Branch
Civil or Criminal Case:civil
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