Violation Tracker Individual Record

Company: 
Whispering Creek Investments LLC
Penalty: 
$1,214,923
Year: 
2019
Date: 
October 24, 2019
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Whispering Creek Investments LLC and individuals were ordered to pay over $1.1 million in restitution and a $50,000 administrative penalty in an Order finding they sold unregistered securities while unlicensed in the state.

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.