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Violation Tracker Individual Record

Company: Red Mountain Funding, Inc.
Penalty: $4,344,885
Year: 2015
Date: November 25, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Red Mountain Funding, Inc. and its controlling individual were ordered to pay over $4.3 million in restitution and a $25,000 administrative penalty in an Order finding that they sold unregistered securities in the state without being licensed.
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.