Violation Tracker Individual Record
Company:
Investment Centers of America Inc.
Current Parent Company:
LPL Financial
Penalty:
$6,000
Year:
2006
Date:
September 14, 2006
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Level of Government:
state
Action Type:
agency action
Agency:
North Dakota Securities Department
Civil or Criminal Case:
civil
Facility State:
North Dakota
HQ Country of Parent:
USA
HQ State of Parent:
California
Ownership Structure of Parent:
publicly traded
Major Industry of Parent:
financial services
Specific Industry of Parent:
investment advisory services
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.
