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Violation Tracker Individual Record

Company: Forex Investment Services Corp. et al.
Penalty: $416,086
Year: 2000
Date: March 31, 2000
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Forex Investment Services Corporation, Eastern Vanguard Forex Ltd. and Eastern Vanguard Group Ltd., Y & T Inc. dba Tokyo International Investment Ltd., and several individuals, were ordered to pay $336,086 in restitution and $400,000 in administrative penalties (reduced to $20,000 each with prompt payment of restitution) in an Order finding they 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)
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.