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Violation Tracker Individual Record

Company: Cosas Management Group, L.L.C.
Penalty: $1,405,366
Year: 2009
Date: March 24, 2009
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Cosas Management Group and its controlling individual agreed to pay $1,380,366 in restitution and a $50,000 administrative penalty (reduced to $25,000 with prompt payment of restitution) in settlement of allegations they sold unregistered securities in the state while not 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 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.