Violation Tracker Individual Record
Company:Neilsen Financial Services
Date:December 1, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
James E. Neilsen dba Neilsen Financial Services was ordered to pay a $300,000 fine, and a previous order to pay $243,000 in restitution became permanent, in an Administrative Order finding that it sold securities in a deceptive manner.
Level of Government:state
Action Type:agency action
Agency:Connecticut Securities and Business Investments Division
Civil or Criminal Case:civil
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