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Violation Tracker Individual Record

Company: Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services
Penalty: $19,555,041
Year: 2006
Date: December 12, 2006
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
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.