Violation Tracker Individual Record

Company: 
Tri-Core Companies, LLC et al.
Penalty: 
$4,822,311
Year: 
2017
Date: 
November 7, 2017
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Tri-Core Companies, LLC, Tri-Core Mexico Land Development, LLC, Tri-Core Business Development LLC, ERC Compactors, LLC, C&D Construction Services, Inc. and ERC Investments, LLC were ordered to pay, jointly and severally with their controlling individual, a total of $4,447,311 in restitution and $375,000 in administrative penalties in an Order finding they fraudulently sold unregistered securities in the state while unlicensed.

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.