Violation Tracker Individual Record

Company: 
Plein Enterprises Incorporated dba Tri-Star Realty
Penalty: 
$1,586,182
Year: 
2011
Date: 
March 21, 2011
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Plein Enterprises agreed to pay restitution of $1,336,182 and a civil penalty of $250,000 jointly and severally with a trust and controlling individuals in settlement of allegations it fraudulently sold unregistered securities in the state without being registered as a dealer.

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.