Violation Tracker Individual Record
Company:Bolton Total Wealth Management and Spirited Funds, LLC
Date:May 13, 2019
Offense Group:financial offenses
Primary Offense:investor protection violation
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 City:Bowling Green
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