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Violation Tracker Individual Record

Company: Douglas A. Richardson, CPA, LLC
Penalty: $3,252,200
Year: 2019
Date: January 28, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Douglas A. Richardson CPA, LLC and one individual agreed to pay $3,227,200 in restitution, $20,000 to the Investor Education and Protection Fund, and $5,000 in costs in settlement of allegations they fraudulently sold unregistered securities in the state.
Level of Government: state
Action Type: agency action
Agency: Missouri Secretary of State-Securities
Civil or Criminal Case: civil
Facility State: Missouri
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.