Violation Tracker Individual Record

Company: 
Carr Miller Capital, LLC
Penalty: 
$2,340,000
Year: 
2013
Date: 
October 9, 2013
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Car Miller Capital, LLC was ordered to pay $2.34 million to settle allegations by the Bureau of Securities that it was involved in a Ponzi scheme to defraud investors. The individuals who operated the company were fined separately.

Level of Government: 
state
Action Type: 
agency action
Agency: 
New Jersey Bureau of Securities
Civil or Criminal Case: 
civil
Facility State: 
New Jersey
Facility City: 
Marlton
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.