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Violation Tracker Individual Record

Company: Cantone Research, Inc. and Cantone Office Center, LLC
Penalty: $2,100,000
Year: 2017
Date: July 20, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Cantone Research, Inc., Cantone Office Center, LLC and their owners, agreed to pay $2.1 million in settlement of allegations they engaged in dishonest practices in selling securities, failing to alert investors to the fact that securities were risky and illegally unregistered.
Level of Government: state
Action Type: agency action
Agency: New Jersey Bureau of Securities
Civil or Criminal Case: civil
Facility State: New Jersey
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.