Violation Tracker Individual Record
Company:Red Mountain Funding, Inc.
Date:November 25, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
Red Mountain Funding, Inc. and its controlling individual were ordered to pay over $4.3 million in restitution and a $25,000 administrative penalty in an Order finding that they sold unregistered securities in the state without being licensed.
Level of Government:state
Action Type:agency action
Agency:Arizona Corporation Commission
Civil or Criminal Case:civil
Source of Data:
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