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Violation Tracker Individual Record

Company: Bryn Advisory Group, LLC
Penalty: $705,000
Year: 2013
Date: October 18, 2013
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Bryn Advisory Group was ordered to pay a $705,000 administrative fine in a Final Order finding that it deceptively sold unregistered securities.
Level of Government: state
Action Type: agency action
Agency: Florida Office of Financial Regulation
Civil or Criminal Case: civil
Case ID: 0724a-S-07/13
Facility State: Florida
Facility City: Tampa
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.