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Advanced SearchViolation Tracker Individual Record
Company: ClearPath Capital Partners LLC
Penalty: $65,000
Year: 2024
Date: September 3, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets and for its use of impermissible liability disclaimers in its advisory and private fund agreements.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data:
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Archived Source:
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
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