Violation Tracker Individual Record
Company:Southridge Investment Group LLC fka Greenfield Capital Partners LLC
Date:February 9, 2012
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:financial institution supervision failures
Southridge Investment Group was ordered to pay $250,000 in an Administrative Order finding it had had failed to follow registration, record keeping, and privacy requirements for operating as a securities dealer.
Level of Government:state
Action Type:agency action
Agency:Connecticut Securities and Business Investments Division
Civil or Criminal Case:civil
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