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Violation Tracker Individual Record

Company: Heritage Corner, Ltd. And Heritage Funding Group, Inc.
Penalty: $310,000
Year: 2011
Date: October 5, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Heritage Corner, Ltd., Heritage Funding Group, Inc. and one individual were ordered to pay disgorgement of $300,000 for restitution to an investor, plus a $10,000 civil penalty, in a Court Order finding they sold unregistered securities without a licence, made material misrepresentations to an investor, and engaged in acts that operated as a fraud or deceit.
Level of Government: state
Action Type: agency action
Agency: Arkansas Securities Department
Civil or Criminal Case: civil
Facility State: Arkansas
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.