Violation Tracker Individual Record

Company: 
Solium Financial Services LLC
Current Parent Company: 
Morgan Stanley
Penalty: 
$79,045
Year: 
2020
Date: 
July 17, 2020
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Level of Government: 
state
Action Type: 
agency action
Agency: 
Florida Office of Financial Regulation
Civil or Criminal Case: 
civil
Case ID: 
99172-SR
Facility State: 
Florida
HQ Country of Parent: 
USA
HQ State of Parent: 
New York
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
financial services
Notes: 

Penalty includes $1,000 in back licensing fees.

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.