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Violation Tracker Individual Record

Company: Windsor Jones, LLC
Penalty: $2,398,373
Year: 2022
Date: October 31, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Windsor Jones and three individuals were jointly ordered to pay a total of $2,398,373 in restitution, civil penalties, and costs, in a finding by the Commissioner that they fraudulently sold unregistered securities in the state without being licensed.
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.