Defendant Name: Fidelity National Capital Investors, Inc.

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

Document Reference: 34-49824

Document Details

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

Disgorgement & Penalty Information

Resolutions
Censured
Monetary Penalties:

Disgorgement

Individual:     $50,000.00 Shared:    

Civil Penalty

Individual:     $75,000.00 Shared:    

Pre-Judgment Interest

(Penalty was noted in document, but no amount was listed)

Total Penalty

Individual:     $125,000.00 Shared:    

Related Documents:

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
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