Violation Tracker Individual Record

Company: 
Global Bullion Exchange, LLC
Penalty: 
$825,000
Year: 
2010
Date: 
October 4, 2010
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Global Bullion Exchange, LLC and four individuals were ordered to pay a $825,000 civil penalty in an Order finding they deceptively sold unregistered securities in the state without being registered as a broker-dealer or agent.

Level of Government: 
state
Action Type: 
agency action
Agency: 
Maryland Securities Division
Civil or Criminal Case: 
civil
Facility State: 
Maryland
Source Notes: 
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Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.