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Violation Tracker Individual Record

Company: Cincinnati Analysts, Inc.
Penalty: $740,000
Year: 2014
Date: July 28, 2014
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: Cincinnati Analysts agreed to pay $100,000 to the Investor Education and Protector Fund and $10,000 in costs in settlement of allegations it failed to reasonably supervise an investment advisor convicted of fraud for misappropriating client funds. The company's settlement with investors for $630,000 in restitution is one of the terms of this Consent Order, so it is included in penalty total.
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: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.