Settlement against CCO Investment Corp

Order
Wednesday, December 11, 2013
Docket No. 13-046-S

CCO Investment Services Corp. agreed to pay $120,000 in penalties as part of a negotiated resolution pertaining to Securities Act violations, including failure to reasonably supervise its agent and, through the actions of its agent, making unsuitable recommendations as described in the Order.  CCO will also reimburse the department for the cost of the investigation.

AttachmentSize
Administrative Consent Order348.29 KB

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