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Violation Tracker Individual Record

Company: GPB Capital Holdings, LLC et al.
Penalty: $10,200,000
Year: 2021
Date: February 4, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: GPB Capital Holdings, LLC, Ascendant Alternative Strategies, LLC and Ascendant Capital, LLC, plus two individuals, were ordered to cease and desist from fraudulently selling unregistered securities in the state while unregistered, with a $10,200,000 civil penalty when the order became final.
Level of Government: state
Action Type: agency action
Agency: South Carolina Department of Insurance
Civil or Criminal Case: civil
Facility State: South Carolina
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.