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 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.