OTC Link LLC Censured for Compliance Failures — $575,000 Civil Penalty
RedMap Risk Score
80/100
CRITICAL RISK
Risk Signal Summary
The SEC censured OTC Link LLC for repeated violations of Regulation SCI, imposing a $575,000 civil penalty for failing to maintain required compliance policies from August 2016 to March 2025 in New York.
Why This Matters
Governance and compliance anomalies in organizations managing public funds or charitable assets directly affect donors, beneficiaries, and taxpayers. The risk indicators identified in this report warrant further scrutiny by regulators, donors, and oversight bodies.
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Multiple related entities detected
🔒 Otc Link LLC has potential risk indicators with connected organizations. Unlock full network analysis.
Sign up free to unlock →Disclaimer: This report identifies risk indicators and unusual financial patterns based on publicly available IRS Form 990 data and government enforcement records. It does not assert fraud, criminal conduct, or legal violations. All findings are for informational purposes only and should not be construed as legal or financial advice.
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