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Violation Tracker Individual Record

Company: Financial Group Corp.
Penalty: $150,000
Year: 2024
Date: March 25, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Financial Group and related individual were ordered to pay $150,000 civil penalties in a finding that they violated New Jersey Securities Law by fraudulently selling securities in the state.
Level of Government: state
Action Type: agency action
Agency: New Jersey Bureau of Securities
Civil or Criminal Case: civil
Facility State: New Jersey
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.