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Violation Tracker Individual Record

Company: Strudwick & Associates, Inc.
Penalty: $1,000,000
Year: 2020
Date: August 10, 2020
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Four companies agreed to pay civil penalties in settlement of charges they violated the Securities Act by selling unregistered securities, misleading clients, acting as unregistered broker-dealers or agents, giving misleading reports to the Division, and other administrative violations. Strudwick & Associates agreed to set up a trust fund of liquidated assets for restitution and funds distributed from the trust to creditors would reduce the civil penalty assessed against each company.
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.