Defendant Name: Fidelity National Capital Investors, Inc.

Defendant Type: Subsidiary of Public Company
Public Company Parent: Fidelity National Corp.
SIC Code: 6020
CUSIP: 31639410

Initial Case Details

Legal Case Name In the Matter of Fidelity National Capital Investors, Inc.
First Document Date 08-Jun-2004
Initial Filing Format Administrative Action
File Number 3-11514
Allegation Type Broker Dealer

Violations Alleged

Other
• Failure to supervise within the meaning of Section 15(b)(4)(E) Exchange Act

Resolutions

First Resolution Date 08-Jun-2004
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-49824 08-Jun-2004 Administrative Proceeding
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 as to Fidelity National Capital Investors, Inc.
On June 8, 2004, the SEC instituted administrative proceedings against Fidelity National Capital Investors, Inc., stating: "Fidelity failed reasonably to supervise within the meaning of Section15(b)(4)(E) of the Exchange Act because it failed to establish an adequate system to implement procedures reasonably designed to detect and prevent violations of the securities laws by Drucker's registered representative."
34-57606 02-Apr-2008 Administrative Proceeding
Order Approving and Ratifying Prior Disbursement of Fair Fund
The Commission stated: "The disgorgement and prejudgment interest, and civil monetary penalty totaling $125,000.00 paid by Respondent were held by the Commission’s Office of Financial Management in a Fair Fund, pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002 (“Fair Fund”). The Fair Fund was fully distributed on January 31, 2005, according to the terms of the Plan of Distribution approved by the Order."
34-103859 04-Sep-2025 Administrative Proceeding
Order Authorizing the Transfer to the US Department of the Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
The Commission ordered that: "A. the remaining funds that are infeasible to return to investors in the amount of $1,005.35, and any funds returned to the Fair Fund in the future that are infeasible to return to investors, shall be transferred to the Treasury . . . ; B. the Fund Administrator, Nancy Burton, is discharged; and C. the Fair Fund is terminated."