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Violation Tracker Individual Record

Company: New Castle Financial Services LLC
Penalty: $100,000
Year: 2008
Date: August 18, 2008
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: New Castle Financial Services agreed to pay a $50,000 fine and contribute $50,000 to the National White Collar Crime Center in settlement of allegations it sold unregistered securities, employed unregistered agents, used sales material in a deceptive or misleading manner, and failed to maintain a system for supervising the activities of its agents.
Level of Government: state
Action Type: agency action
Agency: Connecticut Securities and Business Investments Division
Civil or Criminal Case: civil
Facility State: Connecticut
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.