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Violation Tracker Individual Record

Company: Phydea Equity Fund, LLC
Penalty: $890,000
Year: 2008
Date: March 7, 2008
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Phydea and one individual were ordered to pay a $890,000 civil penalty (reduced by any restitution paid in a criminal case) in an Order finding they fraudulently 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)
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.