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Violation Tracker Individual Record

Company: AE Wealth Management, LLC
Penalty: $1,309,400
Year: 2021
Date: September 1, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: AE Wealth Management agreed to pay $1,159,400 restitution and $150,000 administrative penalty in settlement of alleged misleading investment advice provided to clients.
Level of Government: state
Action Type: agency action
Agency: Arizona Corporation Commission
Civil or Criminal Case: civil
Facility State: Arizona
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.