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Violation Tracker Individual Record

Company: Caesar Investments, LLC
Penalty: $472,378
Year: 2017
Date: November 7, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Caesar Investments along with its controlling individual agreed to pay $357,378 in restitution and a $115,000 administrative penalty in settlement of an Order finding that they deceptively sold unregistered securities in the state while unlicensed.
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)
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.