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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 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.