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Violation Tracker Individual Record

Company: MSA & Associates, LLC
Penalty: $420,000
Year: 2022
Date: June 21, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: MSA was ordered to pay $420,000 in a finding that it misleadingly sold unregistered securities while not 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)
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.