Violation Tracker Individual Record

Company: 
Neilsen Financial Services
Penalty: 
$543,000
Year: 
2015
Date: 
December 1, 2015
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

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
Facility State: 
Connecticut
Facility City: 
Norwalk
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.