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Violation Tracker Individual Record

Company: Wealth Planning Group
Penalty: $130,000
Year: 2024
Date: May 30, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The individual dba Wealth Planning Group was ordered to pay $130,000 in an Order finding that they fraudulently sold unregistered securities while not being licensed in the state.
Level of Government: state
Action Type: agency action
Agency: Oregon Division of Financial Regulation
Civil or Criminal Case: civil
Facility State: Oregon
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.