Violation Tracker Individual Record

Company: 
Cochise Financial Corp.
Penalty: 
$1,301,929
Year: 
2000
Date: 
May 4, 2000
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Cochise and its controlling individual were ordered to pay $1,292,929 in restitution and a $27,000 administrative penalty (reduced to $9,000 if restitution paid) in an Order finding they deceptively 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.