Violation Tracker Individual Record

Company: 
CAG Financial, L.L.C and CAG Financial Services, L.L.C and Leigh & Associates, L.L.C.
Penalty: 
$566,573
Year: 
2008
Date: 
March 10, 2008
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

CAG Financial, L.L.C, CAG Financial Services, L.L.C., Leigh & Associates, L.L.C. and controlling individual agreed to pay $531,573 in restitution and a $35,000 administrative penalty in settlement of allegations they sold unregistered securities in the state without being registered as dealers.

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.