Violation Tracker Individual Record
Date:October 25, 2005
Offense Group:financial offenses
Primary Offense:investor protection violation
Listo was ordered to pay $806,875 in restitution and a $100,000 administrative penalty in an order finding it fraudulently sold unregistered securities in the state without being registered as a dealer.
Level of Government:state
Action Type:agency action
Agency:Arizona Corporation Commission
Civil or Criminal Case:civil
Source of Data:
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