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Violation Tracker Individual Record

Company: Family Tree Estate Planning, LLC,
Penalty: $3,838,040
Year: 2023
Date: December 12, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Family Tree Estate Planning LLC plus the individuals involved agreed to jointly pay $3,738,040 restitution and $100,000 penalties in settlement of allegations they fraudulently sold unregistered securities in the state when not registered as a dealer or salesman.
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.