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Violation Tracker Individual Record

Company: Lufkin Advisors, LLC et al.
Penalty: $525,000
Year: 2024
Date: June 25, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The SEC's complaint alleged that defendants for years engaged in a fraudulent course of conduct that included a loss of control of crypto assets entrusted to them for at least one year without disclosure of that fact to advisory clients.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange 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.