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Violation Tracker Individual Record

Company: Strategic Capital Group LLC
Penalty: $586,290
Year: 2014
Date: September 18, 2014
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: An investment advisory firm located outside Tacoma, Wash., settled allegations of engaging in hundreds of principal transactions through its affiliated broker-dealer without informing clients or obtaining their consent.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange 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.