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Violation Tracker Individual Record

Company: JM Financial Services
Penalty: $115,000
Year: 2024
Date: July 15, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The individual dba JM Financial Services was ordered to pay a $115,000 penalty in a finding that they fraudulently sold securities in the state while unregistered as an agent.
Level of Government: state
Action Type: agency action
Agency: Maryland Securities Division
Civil or Criminal Case: civil
Facility State: Maryland
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.