Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Raskob Kambourian Financial Advisors, Ltd.
Penalty: $1,845,581
Year: 2024
Date: September 6, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission charged Raskob Kambourian Financial Advisors, Ltd., a formerly SEC registered investment adviser based in Tucson, Arizona, with breaching its fiduciary duties by failing to disclose financial planning and investment management fee increases to its 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.