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Violation Tracker Individual Record

Company: G.D. III, Inc.
Penalty: $589,434
Year: 2021
Date: October 4, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: G.D. III and its owner agreed to pay a civil penalty of $589,434 in settlement of allegations it sold investments without being registered as a broker-dealer or agent, and failing to disclose the risks and unregistered nature of the investments. The civil penalty would be reduced by the amount of restitution and penalties paid to the SEC in a separate settlement.
Level of Government: state
Action Type: agency action
Agency: Maryland Securities Division
Civil or Criminal Case: civil
Facility State: Maryland
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.