Marina Capital Management, Inc.
License or Case Number: 923-4200, 131178, OAH # L2007070912
Date of Initial Action:
Defendants/Respondents: Marina Capital Management, Inc.
- 05/10/05 – Order to Discontinue Violations Pursuant to Corporations Code section 25249
- 05/10/05 – Statement in Support of Order Levying Administrative Penalties Pursuant to Corporations Code section 25242
- 05/10/05 – Statement in Support of Order to Discontinue Violations Pursuant to Corporations Code section 25249 and Commissioner’s Intention to Make Order Final
- 06/22/07 – Accusation Re: Intent to Issue Order Revoking the Investment Adviser Certificate of Marina Capital Management, Inc. Pursuant to Corporations Code Section 25232
- 04/08/08 – Office of Administrative Law Decision
About the Licensee status
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