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Violation Tracker Individual Record

Company: Neilsen Financial Services
Penalty: $543,000
Year: 2015
Date: December 1, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: James E. Neilsen dba Neilsen Financial Services was ordered to pay a $300,000 fine, and a previous order to pay $243,000 in restitution became permanent, in an Administrative Order finding that it sold securities in a deceptive manner.
Level of Government: state
Action Type: agency action
Agency: Connecticut Securities and Business Investments Division
Civil or Criminal Case: civil
Facility State: Connecticut
Facility City: Norwalk
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.