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Violation Tracker Individual Record

Company: Cadaret, Grant & Co., Inc.
Current Parent Company: Atria Wealth Solutions
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $6,041,426
Year: 2024
Date: August 12, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: privately held
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: investment advisory services
Source of Data: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.