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Violation Tracker Individual Record

Company: Southridge Capital Management LLC
Penalty: $500,000
Year: 2018
Date: July 6, 2018
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Southridge Capital Management and an individual agreed to jointly and severally pay $500,000 civil penalties in settlement of allegations itsold 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: Ridgefield
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.