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Violation Tracker Individual Record

Company: Mosaic Financial Strategies LLC and Mosaic Portfolio Strategists, LLC
Penalty: $1,390,000
Year: 2020
Date: July 27, 2020
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Mosaic Financial Strategies, Mosaic Portfolio Strategists, and one individual were ordered to pay a $900,000 fine and $490,000 in restitution in an Order finding they acted as an investment adviser without registration and fraudulently sold unregistered securities in the state.
Level of Government: state
Action Type: agency action
Agency: Connecticut Securities and Business Investments Division
Civil or Criminal Case: civil
Facility State: Connecticut
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.