Violation Tracker Individual Record

Company: 
Mid-Atlantic Financial, LLC et al.
Penalty: 
$1,200,000
Year: 
2018
Date: 
January 23, 2018
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Mid-Atlantic Financial, LLC, Jonathan S Williams Financial Planning, and Advanced Retirement Solutions, plus one individual, were ordered to pay a $1.2 million civil penalty in an Order finding they deceptively sold unregistered securities in the state without being registered as broker-dealers or agents and misappropriated funds given to them.

Level of Government: 
state
Action Type: 
agency action
Agency: 
Maryland Securities Division
Civil or Criminal Case: 
civil
Facility State: 
Maryland
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.