Violation Tracker Individual Record

Company: 
Theodore J. Hogan & Associates, LLC
Penalty: 
$2,253,310
Year: 
2011
Date: 
March 3, 2011
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Theodore J. Hogan & Associates, LLC along with its controlling individual, were ordered to pay $2,208,310 in restitution and administrative penalties of $45,000 in an Order finding they fraudulently sold unregistered securities in the state without being registered as a dealer.

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.