Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Legacy Advisory Group, Inc. and LWM Income Fund, LLC and LWM Equity Fund, L.P.
Penalty: $150,000
Year: 2021
Date: September 30, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Legacy Advisory Group et al. agreed to pay $150,000 in settlement of allegations they failed to comply with investment adviser capital requirements and failed to file audited balance sheets with the Department.
Level of Government: state
Action Type: agency action
Agency: Pennsylvania Department of Banking and Securities
Civil or Criminal Case: civil
Facility State: Pennsylvania
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.