Violation Tracker Individual Record

Company: 
First Financial LLC
Penalty: 
$200,000
Year: 
2013
Date: 
May 13, 2013
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

First Financial LLC was ordered to pay a $200,000 civil penalty in an Administrative Order finding it sold unregistered securities in a decepetive manner, falsified information given to investors, paid off earlier investors with later investors' money, and diverted money for personal uses.

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: 
Branford
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.