Violation Tracker Individual Record

Company: 
Offutt Group, LLC et al.
Penalty: 
$2,800,000
Year: 
2009
Date: 
June 22, 2009
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Offutt Group, LLC, Offutt Holding Company, LLC, Offutt Holding and Affiliates, LLC, Offutt Holding Company and Affiliates, LLC and one individual were ordered to pay a $2,800,000 civil penalty (reduced by any restitution paid) in an Order finding 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 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.