Violation Tracker Individual Record

Company: 
Southridge Investment Group LLC fka Greenfield Capital Partners LLC
Penalty: 
$250,000
Year: 
2012
Date: 
February 9, 2012
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Secondary Offense: 
financial institution supervision failures
Violation Description: 

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
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.