Violation Tracker Individual Record
: Global Capital and Equity LLC
: March 2, 2022
: financial offenses
: investor protection violation
: Global Capital and Equity agreed to pay $436,500 restitution and $30,000 penalties in settlement of allegations it fraudulently sold unregistered securities.
Level of Government
: agency action
: Arizona Corporation Commission
Civil or Criminal Case
Source of Data
: (click here)
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Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log