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Violation Tracker Individual Record

Company: One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC
Penalty: $6,274,453
Year: 2010
Date: November 8, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC and their controlling individual were ordered to pay $6,224,453 in restitution and a $50,000 administrative penalty in an Order finding they fraudulently sold unregistered securities in the state without 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)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.