Violation Tracker Individual Record

Company: 
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC
Penalty: 
$6,274,453
Year: 
2010
Date: 
November 8, 2010
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC and their controlling individual were ordered to pay $6,224,453 in restitution and a $50,000 administrative penalty 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: 
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Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.