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Violation Tracker Individual Record

Company: Charles Winn, LLC
Penalty: $419,431
Year: 2023
Date: August 1, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Charles Winn and several individuals were ordered to jointly pay $363,780 restitution, $50,000 penalties, and $5651 cost in a finding that they had fraudulently sold unregistered securities and had not been registered as sales agents.
Level of Government: state
Action Type: agency action
Agency: Iowa Insurance Division
Civil or Criminal Case: civil
Facility State: Iowa
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.