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Violation Tracker Individual Record

Company: Mid-Atlantic Financial, LLC et al.
Penalty: $1,200,000
Year: 2018
Date: January 23, 2018
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Mid-Atlantic Financial, LLC, Jonathan S Williams Financial Planning, and Advanced Retirement Solutions, plus one individual, were ordered to pay a $1.2 million civil penalty in an Order finding they deceptively sold unregistered securities in the state without being registered as broker-dealers or agents and misappropriated funds given to them.
Level of Government: state
Action Type: agency action
Agency: Maryland Securities Division
Civil or Criminal Case: civil
Facility State: Maryland
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.