Violation Tracker Individual Record
Company:Legacy Financial Advisors, LLC
Date:December 18, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
Legacy Financial Advisors and its controlling individual were ordered to pay $340,806 in restitution and a $50,000 administrative penalty in an Order find the company used an unlicensed investment advisor and committed fraud against clients.
Level of Government:state
Action Type:agency action
Agency:Arizona Corporation Commission
Civil or Criminal Case:civil
Source of Data:
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