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Violation Tracker Individual Record

Company: Bolton Total Wealth Management and Spirited Funds, LLC
Penalty: $220,000
Year: 2019
Date: May 13, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Bolton Total Wealth Management, Spirited Funds, and their managing individual, were ordered to pay a total of $220,000 fines, plus restitution to investors, in a Final Order finding that they deceptively sold unregistered securities.
Level of Government: state
Action Type: agency action
Agency: Kentucky Department of Financial Institutions
Civil or Criminal Case: civil
Facility State: Kentucky
Facility City: Bowling Green
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.