Violation Tracker Individual Record
Company:Southridge Capital Management LLC
Date:July 6, 2018
Offense Group:financial offenses
Primary Offense:investor protection violation
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
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