SGM Investments, LLC — Violations

Total: 33 violations | S&S: 4 | Penalties: $5K

Date Section Title S&S Negligence Penalty
11/02/2016 56.14107(a) Non-S&S ModNegligence $114
05/18/2016 56.14100(c) Non-S&S ModNegligence $100
05/18/2016 56.20003(a) S&S HighNegligence $285
11/19/2015 56.4230(a)(1) Non-S&S ModNegligence $100
11/19/2015 56.11001 Non-S&S ModNegligence $100
11/19/2015 56.12004 Non-S&S ModNegligence $100
11/19/2015 56.14107(a) Non-S&S ModNegligence $100
03/20/2015 56.14132(a) Non-S&S ModNegligence $100
03/06/2014 56.14132(a) Non-S&S ModNegligence $100
04/24/2013 56.14101(a)(2) Non-S&S ModNegligence $100
04/24/2013 56.16005 Non-S&S ModNegligence $100
10/11/2012 56.12018 Non-S&S ModNegligence $100
06/12/2012 56.14100(b) Non-S&S ModNegligence $100
12/15/2011 56.12032 Non-S&S ModNegligence $100
07/27/2010 56.18002(b) Non-S&S ModNegligence $100
10/27/2009 56.14100(b) Non-S&S ModNegligence $100
04/24/2008 56.14107(a) Non-S&S ModNegligence $117
04/24/2008 56.4101 Non-S&S ModNegligence $117
12/06/2007 56.14132(a) Non-S&S ModNegligence $285
12/06/2007 56.4101 Non-S&S ModNegligence $100
12/06/2007 47.44(b) Non-S&S ModNegligence $100
12/06/2007 56.4402 Non-S&S ModNegligence $100
12/06/2007 56.14132(a) Non-S&S ModNegligence $285
07/26/2007 56.14103(b) Non-S&S LowNegligence $100
07/26/2007 56.14132(b)(1) Non-S&S LowNegligence $100
06/06/2007 56.4101 Non-S&S ModNegligence $100
06/06/2007 56.9300(a) S&S ModNegligence $100
06/05/2007 56.15001 Non-S&S ModNegligence $100
06/05/2007 56.12028 S&S ModNegligence $243
06/05/2007 56.12018 Non-S&S ModNegligence $100
06/05/2007 56.14107(a) Non-S&S ModNegligence $100
06/05/2007 56.14107(a) Non-S&S ModNegligence $100
06/05/2007 46.5(a) S&S HighNegligence $897