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Violation Tracker Individual Record

Company: StartEngine Capital LLC
Penalty: $350,000
Year: 2022
Date: May 4, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: FINRA fined two FINRA-registeredfunding portalsa combined $1.75 million for failing to comply with securities laws and rules designed to protect crowdfunding investors.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
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.