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Violation Tracker Individual Record

Company: Global Capital and Equity LLC
Penalty: $466,500
Year: 2022
Date: March 2, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: 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: 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.