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Violation Tracker Individual Record

Company: Rome Finance Co. (GA), LLC
Penalty: $250,000
Year: 2011
Date: July 8, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: consumer protection violation
Violation Description: Rome Finance Co. and two individuals agreed to pay $250,000 in civil penalties as part of a settlement of allegations the company deceptively sold unqualified securities and acted as a finance lender or broker without a license.
Level of Government: state
Action Type: agency action
Agency: California Department of Financial Protection and Innovation
Civil or Criminal Case: civil
Facility State: California
Source of Data: (click here)
Notes: The settlement also included conditional penalties of $4.5 million depending on payments to Bankruptcy Court.
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.