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 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.