Violation Tracker Individual Record

Company: 
Farmington Investment Corp.
Penalty: 
$1,112,215
Year: 
2011
Date: 
September 21, 2011
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Farmington and one individual were ordered to pay $1,097,340 in restitution and $4,875 in costs, and the company was to pay a $10,000 civil penalty in an Order finding they deceptively sold unregistered securities in the state without being a registered dealer.

Level of Government: 
state
Action Type: 
agency action
Agency: 
Missouri Secretary of State-Securities
Civil or Criminal Case: 
civil
Facility State: 
Missouri
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.