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Violation Tracker Individual Record

Company: Gordon & Company Ltd.
Penalty: $975,000
Year: 2009
Date: November 6, 2009
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Gordon & Company and one individual agreed to pay $975,000 restitution from proceeds arising from their interest in PG Development Company, Inc. in settlement of allegations they deceptively sold unregistered securities in the state without being registered as a broker-dealer or agent.
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)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.