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Violation Tracker Individual Record

Company: Palmyra Capital Advisors LLC,
Penalty: $330,000
Year: 2010
Date: January 26, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: Two California investment advisory firms agreed to settle allegations of engaging in improper short selling of securities in advance of their participation in a company's secondary offering.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.