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Violation Tracker Individual Record

Company: Upstream Energy Services LLC
Penalty: $75,000
Year: 2019
Date: October 24, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: failure to register
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading 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.