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Violation Tracker Individual Record

Company: Duke and Duke Wealth Management, LLC
Penalty: $100,000
Year: 2023
Date: December 28, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Duke and Duke agreed to pay $100,000 in settlement of alleged violations of securities regulations by failures to follow record keeping requirements and procedures.
Level of Government: state
Action Type: agency action
Agency: Pennsylvania Department of Banking and Securities
Civil or Criminal Case: civil
Facility State: Pennsylvania
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.