Violation Tracker Individual Record

Company: 
ABM Management, Inc. et al.
Penalty: 
$2,605,226
Year: 
2017
Date: 
September 20, 2017
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

ABM Management, Inc, ABM Management, Intl., Ltd., Amcap Premier, LP, Doctors Investment Group, LP, Cloud Nine Investments, LLC and one individual were ordered to pay $2,389,226 in restitution and $7,077 in costs, and the companies were ordered to pay a total of $216,000 in civil penalties in an Order finding they fraudulently sold unregistered securities in the state without being registered to deal in securities.

Level of Government: 
state
Action Type: 
agency action
Agency: 
Missouri Secretary of State-Securities
Civil or Criminal Case: 
civil
Facility State: 
Missouri
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.