Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Regal Assets LLC
Penalty: $49,200,000
Year: 2024
Date: October 25, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: A federal court ordered precious metals dealer Regal Assets and its principals to to pay, jointly and severally, over $21.9 million in restitution to defrauded customers and civil monetary penalties over $27.3 million.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.