Violation Tracker Individual Record

Company: 
Southridge Capital Management LLC
Penalty: 
$500,000
Year: 
2018
Date: 
July 6, 2018
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Southridge Capital Management and an individual agreed to jointly and severally pay $500,000 civil penalties in settlement of allegations itsold 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: 
Ridgefield
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.