Violation Tracker Individual Record
Company:Capital Investment Group, Inc.
Date:November 29, 2016
Offense Group:financial offenses
Primary Offense:investor protection violation
Capital Investment Group agreed to pay a $500,000 civil penalty (reduced by any restitution paid) in settlement of allegations it failed to adequately supervise a representative, leading to the sale of unregistered and unsuitable securities.
Level of Government:state
Action Type:agency action
Agency:Maryland Securities Division
Civil or Criminal Case:civil
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