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Violation Tracker Individual Record

Company: Chadwick & D’Amato, LLC, and Chadwick Consulting, LLC
Penalty: $1,652,708
Year: 2023
Date: December 11, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Chadwock et al. Agreed to pay $1.65 million restitution in settlement of allegations they invested client funds in unsuitable securities, and by operating after their registration was cancelled, unlawfully acted as an investment adviser and broker.
Level of Government: state
Action Type: agency action
Agency: Vermont Department of Financial Regulation
Civil or Criminal Case: civil
Facility State: Vermont
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.