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Violation Tracker Individual Record

Company: Farmington Investment Corp.
Penalty: $1,112,215
Year: 2011
Date: September 21, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Farmington and one individual were ordered to pay $1,097,340 in restitution and $4,875 in costs, and the company was to pay a $10,000 civil penalty in an Order finding they deceptively sold unregistered securities in the state without being a registered dealer.
Level of Government: state
Action Type: agency action
Agency: Missouri Secretary of State-Securities
Civil or Criminal Case: civil
Facility State: Missouri
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.