Violation Tracker Individual Record
Company:
Capital-E Advisors, LLC
Penalty:
$6,000
Year:
2019
Date:
June 3, 2019
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Level of Government:
state
Action Type:
agency action
Agency:
Missouri Secretary of State-Securities
Civil or Criminal Case:
civil
Facility State:
Missouri
Source of Data:
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.
