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Violation Tracker Individual Record

Company:, LLC
Penalty: $675,000
Year: 2021
Date: December 20, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: RagingBull agreed to pay a $675,000 administrative penalty in settlement of allegations the company operated as an investment adviser without a license, and did not comply with the publisher's exemption from the definition of investment adviser.
Level of Government: state
Action Type: agency action
Agency: New Hampshire Bureau of Securities Regulation
Civil or Criminal Case: civil
Facility State: New Hampshire
Source of Data(click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.