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Violation Tracker Individual Record

Company: Hynes Financial Services, LLC
Penalty: $69,888
Year: 2022
Date: November 7, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Hynes agreed to disgorge $2,889, pay $41,999 restitution, and pay a $25,000 administrative fine, in settlement of allegations the company did business as an investment advisor without being registered in the state.
Level of Government: state
Action Type: agency action
Agency: Massachusetts Securities Division
Civil or Criminal Case: civil
Facility State: Massachusetts
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.