Violation Tracker Individual Record

Company: 
CAA General Partnership
Penalty: 
$2,929,858
Year: 
2010
Date: 
November 8, 2010
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

CAA General Partnership and two individuals agreed to jointly and severally pay $2,298,236 in restitution with $606,622 accrued interest and a $25,000 administrative penalty in settlement of allegations they were involved in a fraudulent securities scheme.

Level of Government: 
state
Action Type: 
agency action
Agency: 
Arizona Corporation Commission
Civil or Criminal Case: 
civil
Facility State: 
Arizona
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.