Violation Tracker Individual Record
: Legacy Advisory Group, Inc. and LWM Income Fund, LLC and LWM Equity Fund, L.P.
: September 30, 2021
: financial offenses
: investor protection violation
: 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
: agency action
: Pennsylvania Department of Banking and Securities
Civil or Criminal Case
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