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Violation Tracker Individual Record

Company: Barron Thomas Scottsdale, L.L.C. et al.
Penalty: $10,051,294
Year: 2010
Date: November 8, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Barron Thomas Scottsdale L.L.C., Barron Thomas Aviation, Inc., Barron Thomas Aviation Holdings, Inc., Barron Thomas Southwest, Inc. and their controlling individual agreed to jointly and severally pay a total of $9,901,294 restitution and a $150,000 administrative penalty in settlement of allegations they fraudulently sold unregistered securities in the state while not 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.