Violation Tracker Individual Record

Company: 
Rockwell Gold Investments
Penalty: 
$20,000
Year: 
2011
Date: 
July 13, 2011
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Level of Government: 
state
Action Type: 
agency action
Agency: 
Indiana Securities Division
Civil or Criminal Case: 
civil
Case ID: 
11-0143 CA
Facility State: 
Indiana
Notes: 

$10,991 of required repayment had already occurred, but is listed in terms of agreement.

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.