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Violation Tracker Individual Record

Company: Money Concepts Capital Corp.
Penalty: $5,000
Year: 2008
Date: July 4, 2008
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: state
Action Type: agency action
Agency: Kentucky Department of Financial Institutions
Civil or Criminal Case: civil
Facility State: Kentucky
Source of Data: (click here)
Notes: Settlement payments were $1,000 examination fees (not included in penalty amount) and $5,000 contribution to the state Investor Protection Trust.
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.