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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 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.