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Violation Tracker Individual Record

Company: A.G.P./Alliance Global Partners, LLC
Penalty: $113,776
Year: 2024
Date: October 16, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission charged that A.G.P./Alliance Global Partners, LLC engaged in unfair practices in connection with its municipal securities business by quoting municipal bonds at above-market prices and by facilitating the sale of the bonds at above-market prices that were also unfair and unreasonable on behalf of a customer. Alliance agreed to settle the charges without admitting or denying the SEC's findings.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
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.