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Violation Tracker Individual Record

Company: A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC
Penalty: $2,016,570
Year: 2012
Date: October 16, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: A.L. Russell & Associates LLC, Re-Star LLC, Re-Star Holdings LLC and their controlling individual were ordered to pay a total of $1,866,570 restitution and $150,000 administrative penalty in an Order finding that A.L. Russell & Associates acted as an investment adviser without a license and acted deceptively, and Re-Star and Re-Star Holdings fraudulently sold unregistered securities in the state without being registered as dealers.
Level of Government: state
Action Type: agency action
Agency: Arizona Corporation Commission
Civil or Criminal Case: civil
Facility State: Arizona
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.