Violation Tracker Individual Record

Company: 
Trademark Capital Management, LLC and Blue Investments, LLC
Penalty: 
$3,100,880
Year: 
2009
Date: 
April 21, 2009
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Trademark Capital Management, LLC, Blue Investments, LLC, and their controlling individual, agreed to pay $3,000,880 in restitution and a $100,000 administrative penalty in settlement of allegations they fraudulently sold unregistered securities in the state without being registered as dealers.

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.