Defendant Name:
Congress Wealth Management LLC
Defendant Type:
Other
Document Reference:
IA-4507
Document Details
Legal Case Name
In the Matter of Congress Wealth Management LLC
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
Document Date
25-Aug-2016
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
