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Chicago Investment Group, L.L.C.

Chicago Investment Group, L.L.C. (CRD #11853, Chicago, Illinois) received a censure and fine of $22,000. According to the findings, the firm used the mails or other means or instrumentalities of interstate commerce to effect transactions in securities when it failed to maintain the minimum required net capital. The regulators also found that the firm prepared inaccurate general ledgers, trial balances, and net capital computations. Additionally, the firm filed FOCUS IIA reports that overstated the memberís net capital. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C8A050052)

Did Chicago Investment Group, L.L.C. manage your investments?



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