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Violation Tracker Individual Record

Company: Real Estate Finance Corp. and WIN Opportunity Fund, LLC
Penalty: $3,668,565
Year: 2019
Date: February 7, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Real Estate Finance Corp., WIN Opportunity Fund, and the controlling individual agreed to pay over $3.6 million in settlement of an Order finding they deceptively sold unregistered securities in the state while unlicensed. The penalties were: $1,458,329 in restitution from Real Estate Financial and $2,170,236 in restitution plus a $40,000 administrative penalty from WIN Opportunity Fund, Real Estate Financial and the controlling individual.
Level of Government: state
Action Type: agency action
Agency: Arizona Corporation Commission
Civil or Criminal Case: civil
Facility State: Arizona
Source of Data(click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.