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Violation Tracker Individual Record

Company: Solium Financial Services LLC
Current Parent Company: Morgan Stanley
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $79,045
Year: 2020
Date: July 17, 2020
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: state
Action Type: agency action
Agency: Florida Office of Financial Regulation
Civil or Criminal Case: civil
Case ID: 99172-SR
Facility State: Florida
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Notes: Penalty includes $1,000 in back licensing fees.
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.