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Violation Tracker Individual Record

Company: Ocean International Marketing, Ltd et al.
Penalty: $174,689
Year: 2003
Date: October 14, 2003
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Ocean International Marketing, Ltd., Heros Global Marketing, Ltd., and Seed International, Ltd. were ordered to pay a total of $99,689 in restitution and a $25,000 administrative penalty each, in an Order finding they fraudulently 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)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.