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Violation Tracker Individual Record

Company: Leviathan Financial Management Corp and 323 HOLDINGS LLC
Penalty: $192,400
Year: 2023
Date: June 16, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Levathan and 323 Holdings were ordered to pay restitution, penalties and costs totalling $192,400 in a finding by the Commissioner that the companies fraudulently sold unregistered securities in the state without being a registered Agent.
Level of Government: state
Action Type: agency action
Agency: Indiana Securities Division
Civil or Criminal Case: civil
Facility State: Indiana
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.