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Violation Tracker Individual Record

Company: Palos Management Inc.
Penalty: $575,000
Year: 2024
Date: October 15, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission announced settled charges against Palos Management Inc., a Montreal-based investment adviser, for providing brokerage services without being registered as a broker-dealer or otherwise being associated with a registered broker-dealer.
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.