Violation Tracker Individual Record
Company:Unity Financial, LLC
Date:October 20, 2004
Offense Group:financial offenses
Primary Offense:investor protection violation
Unity Financial and its controlling individual agreed to pay $1,627,564 in restitution and a $15,000 administrative penalty in settlement of allegations they deceptively 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
Source of Data:
Source Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.