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Violation Tracker Individual Record

Company: D2D Financial, LLC
Penalty: $130,000
Year: 2022
Date: March 24, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: D2D and its owners were ordered to pay $100,000 restitution and $30,000 penalties in an Order finding they fraudulently sold unregistered securities.
Level of Government: state
Action Type: agency action
Agency: Arizona Corporation Commission
Civil or Criminal Case: civil
Facility State: Arizona
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.