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Violation Tracker Individual Record

Company: Lear Capital, Inc.
Penalty: $6,000,000
Year: 2022
Date: January 3, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: consumer protection violation
Violation Description: Lear Capital agreed to pay $6 million in settlement of allegations the company engaged in unfair and deceptive business practices by charging undisclosed commissions and failed to register as a broker-dealer in the state.
Level of Government: state
Action Type: agency action
Agency: New York Attorney General
Civil or Criminal Case: civil
Facility State: New York
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.