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Violation Tracker Individual Record

Company: Pacific Capital Enterprises LLC
Penalty: $1,326,872
Year: 2019
Date: March 13, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Pacific Capital Enterprises and controlling individuals agreed to pay $1,115,043 in restitution with $161,829 accrued interest, plus a $50,000 administrative penalty, in settling an Order finding it old securities while concealing material facts from investors.
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.