Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Martin & Griffin, LLC
Penalty: $6,982,222
Year: 2003
Date: April 22, 2003
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Martin & Griffin and one individual agreed to pay $6,957,222 in restitution and a $25,000 administrative penalty in settlement of allegations they 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.