Violation Tracker Individual Record

Company: 
Banco Espirito Santo, S.A.
Current Parent Company: 
Banco Espirito Santo
Penalty: 
$1,900,000
Year: 
2011
Date: 
May 19, 2011
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

sale of unregistered securities

Level of Government: 
state
Action Type: 
agency action
Agency: 
New Jersey Attorney General
Civil or Criminal Case: 
civil
Facility State: 
New Jersey
HQ Country of Parent: 
Portugal
Ownership Structure of Parent: 
out of business
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
banking
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.