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Violation Tracker Individual Record

Company: JMI Associates LLC and JB Financial Resources
Penalty: $750,000
Year: 2018
Date: April 16, 2018
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: JMI Associates LLC, JB Financial Resources and their owner were ordered to pay $750,000 by the Bureau of Securities for selling unregistered securities tied to the Woodbridge Group of Cos. while misrepresenting them as safe.
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.