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Violation Tracker Individual Record

Company: Platinum Universal Trades
Penalty: $137,000
Year: 2024
Date: June 20, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Platinum Universal was ordered to pay $107,000 restitution and a $30,000 penalty in a finding by the Commission that it fraudulently sold unregistered securities while not registered as a dealer or salesman in the state.
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.