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Violation Tracker Individual Record

Company: Jamieson Capital Financial LLC
Penalty: $3,250,000
Year: 2022
Date: December 21, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Jamieson was ordered to pay $3,250,000 in civil penalties in a finding that it was acting a securities dealer without registration and was misappropriated client funds.
Level of Government: state
Action Type: agency action
Agency: North Dakota Securities Department
Civil or Criminal Case: civil
Facility State: North Dakota
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.