Violation Tracker Individual Record

Company: 
Smith & Cox, LLC et al.
Penalty: 
$7,558,866
Year: 
2020
Date: 
October 2, 2020
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Smith & Cox LLC and several other parties were ordered to jointly pay more than $7.5 million in restitution and penalties to resolve allegation they fraudulently sold unregistered securities in the state and were not registered as dealers or salespeople.

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.