Violation Tracker Individual Record

Company: 
Bryn Advisory Group, LLC
Penalty: 
$705,000
Year: 
2013
Date: 
October 18, 2013
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Bryn Advisory Group was ordered to pay a $705,000 administrative fine in a Final Order finding that it deceptively sold unregistered securities.

Level of Government: 
state
Action Type: 
agency action
Agency: 
Florida Office of Financial Regulation
Civil or Criminal Case: 
civil
Case ID: 
0724a-S-07/13
Facility State: 
Florida
Facility City: 
Tampa
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.