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Violation Tracker Individual Record

Company: Whispering Winds Properties, L.L.C et al.
Penalty: $16,633,570
Year: 2009
Date: May 21, 2009
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Whispering Winds Properties, L.L.C., LM Beagle Properties, L.L.C., Karlena, Inc., and Axis International, Inc., were ordered to pay a total of $11,233,570 in restitution plus a $5,400,000 administrative penalty (jointly and severally with their controlling individual) in an Order finding 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 of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.