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Violation Tracker Individual Record

Company: Westrock Advisors, Inc.
Penalty: $250,000
Year: 2011
Date: January 20, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: Westrock Advisors was ordered to pay $250,000 in an Administrative Order finding it sold unregistered securities, failed to maintain required net capital, failed to provide records, and failed to maintain adequate supervisory procedures.
Level of Government: state
Action Type: agency action
Agency: Connecticut Securities and Business Investments Division
Civil or Criminal Case: civil
Facility State: Connecticut
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.