Violation Tracker Individual Record

Company: 
Pacific Capital Enterprises LLC
Penalty: 
$1,326,872
Year: 
2019
Date: 
March 13, 2019
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Pacific Capital Enterprises and controlling individuals agreed to pay $1,115,043 in restitution with $161,829 accrued interest, plus a $50,000 administrative penalty, in settling an Order finding it old securities while concealing material facts from investors.

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.