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Violation Tracker Individual Record

Company: Resilient Partners, LLC
Penalty: $1,000,000
Year: 2009
Date: November 16, 2009
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Resident Partners was ordered to pay $1 million in an Administrative Order finding it acted as an investment advisor without being registered in the state.
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.