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:
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
