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 of Data:
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.
