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Violation Tracker Individual Record

Company: Southridge Investment Group LLC fka Greenfield Capital Partners LLC
Penalty: $250,000
Year: 2012
Date: February 9, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: Southridge Investment Group was ordered to pay $250,000 in an Administrative Order finding it had had failed to follow registration, record keeping, and privacy requirements for operating as a securities dealer.
Level of Government: state
Action Type: agency action
Agency: Connecticut Securities and Business Investments Division
Civil or Criminal Case: civil
Facility State: Connecticut
Facility City: Ridgefield
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.