Violation Tracker Individual Record
Company:Caesar Investments, LLC
Date:November 7, 2017
Offense Group:financial offenses
Primary Offense:investor protection violation
Caesar Investments along with its controlling individual agreed to pay $357,378 in restitution and a $115,000 administrative penalty in settlement of an Order finding that they deceptively sold unregistered securities in the state while unlicensed.
Level of Government:state
Action Type:agency action
Agency:Arizona Corporation Commission
Civil or Criminal Case:civil
Source of Data:
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