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Violation Tracker Individual Record

Company: State Bonding dba State Bonding California
Penalty: $1,425,000
Year: 2011
Date: July 1, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: State Bonding, the individual who was its sole proprietor, and their dba State Bonding California, were ordered to pay $10,000 in costs, a $10,000 civil penalty, and $1,405,000 restitution in an Order finding they fraudulently sold unregistered securities in the state without being registered as an agent.
Level of Government: state
Action Type: agency action
Agency: Indiana Securities Division
Civil or Criminal Case: civil
Case ID: 09-0261 SC
Facility State: Indiana
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.