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Violation Tracker Individual Record

Company: 5A Holdings, LLC
Penalty: $3,548,483
Year: 2018
Date: June 4, 2018
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: 5A Holdings and one individual were ordered to pay $3,491,821 in restitution and $8,662 in costs, and the company was ordered to pay a total of $45,000 civil penalties in an Order finding they fraudulently sold unregistered securities in the state without being registered to deal in securities.
Level of Government: state
Action Type: agency action
Agency: Missouri Secretary of State-Securities
Civil or Criminal Case: civil
Facility State: Missouri
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.