Violation Tracker Individual Record
Company:Martin & Griffin, LLC
Date:April 22, 2003
Offense Group:financial offenses
Primary Offense:investor protection violation
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
Source of Data:
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