Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Five Star Capital Markets LLC
Penalty: $5,677,226
Year: 2011
Date: March 3, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Five Star Capital Markets LLC and its controlling individual agreed to pay $5,577,226 in restitution and a $100,000 administrative penalty in settlement of allegations they fraudulently 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 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.