Violation Tracker Individual Record
Company:Dorothy of Oz, LLC dba Box Office Productions III, LLC
Date:July 7, 2011
Offense Group:financial offenses
Primary Offense:investor protection violation
Dorothy of Oz, LLC and an individual were ordered to jointly and severally pay $150,000 in civil penalties in settlement of allegations its sale of securities violated state regulations.
Level of Government:state
Action Type:agency action
Agency:California Department of Financial Protection and Innovation
Civil or Criminal Case:civil
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