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Violation Tracker Individual Record

Company: The Financial Group, LLC
Penalty: $3,706,451
Year: 2022
Date: August 22, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Financial Group and one individual were ordered to jointly pay $3,606,451 restitution and $100,000 administrative penalties in a finding that they fraudulently sold unregistered securities in the state without being registered as dealers or salesmen.
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)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.