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Violation Tracker Individual Record

Company: Stafford Financial Firm
Penalty: $1,162,422
Year: 2017
Date: May 15, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Stafford Financial Firm and one individual were ordered to pay $1,132,660 in restitution and $2,762 in costs, and the company was ordered to pay a total of $26,000 in 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.