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Violation Tracker Individual Record

Company: Legacy Financial Advisors, LLC
Penalty: $390,806
Year: 2014
Date: December 18, 2014
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Legacy Financial Advisors and its controlling individual were ordered to pay $340,806 in restitution and a $50,000 administrative penalty in an Order find the company used an unlicensed investment advisor and committed fraud against clients.
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.