Violation Tracker Individual Record
Date:December 28, 2001
Offense Group:financial offenses
Primary Offense:investor protection violation
Profutura and its controlling individual were ordered to pay $6,165,350 in restitution and a $50,000 administrative penalty in an Order finding they deceptively 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
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