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Advanced SearchViolation Tracker Individual Record
Company: Nato Enterprises, LLC
Penalty: $3,625,127
Year: 2010
Date: April 8, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Nato Enterprises and its controlling individual were ordered to pay $2,910,000 in restitution with $565,127 accrued interest plus a $150,000 administrative penalty 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
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
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