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Violation Tracker Individual Record

Company: CAPITAL BROKERAGE CORPORATION
Penalty: $7,644
Year: 2000
Date: December 14, 2000
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: state
Action Type: agency action
Agency: Virginia Division of Securities
Civil or Criminal Case: civil
Case ID: SEC-2000-00094
Facility State: Virginia
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.