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Violation Tracker Individual Record

Company: Alumni Ventures Group
Penalty: $750,000
Year: 2022
Date: March 4, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Alumni agreed to pay $750,000 in settlement of allegations it fraudulently sold unregistered securities.
Level of Government: state
Action Type: agency action
Agency: Massachusetts Securities Division
Civil or Criminal Case: civil
Facility State: Massachusetts
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.