Violation Tracker Individual Record
Company:
Red Mountain Funding, Inc.
Penalty:
$4,344,885
Year:
2015
Date:
November 25, 2015
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Violation Description:
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
Facility State:
Arizona
Source of Data:
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.
