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Violation Tracker Individual Record

Company: Pilar Investments LLC et al.
Penalty: $504,192
Year: 2012
Date: December 18, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Leoncio Prudencio Raralio Pilar dba Pilar Financial Services dba Investments and Tax Strategies, and Pilar Investments, LLC were ordered to pay a $200,000 administrative penalty and refund approximately $304,192 to investors in an Order finding they fraudulently sold unregistered securities in the state without being a registered broker-dealer.
Level of Government: state
Action Type: agency action
Agency: Hawaii Securities Enforcement Branch
Civil or Criminal Case: civil
Facility State: Hawaii
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.