Violation Tracker Individual Record
Company:Woodbury Financial Services, Inc.
Date:May 21, 2009
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
Woodbury agreed to pay a $250,000 administrative penalty in settlement of allegations it failed to supervise two of its agents who engaged in fraudulent activities.
Level of Government:state
Action Type:agency action
Agency:Arizona Corporation Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:New York
Ownership Structure of Parent:privately held
Major Industry of Parent:private equity (including portfolio companies)
Specific Industry of Parent:private equity (including portfolio companies)
Source of Data:
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