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Violation Tracker Individual Record

Company: Mason Investment Advisory Services, Inc.
Penalty: $525,000
Year: 2024
Date: September 17, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission announced settled charges against 11 institutional investment managers for failing to file reports, known as Forms 13F, that they were required to file because they have discretion over more than $100 million in certain securities.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.