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Violation Tracker Individual Record

Company: Plein Enterprises Incorporated dba Tri-Star Realty
Penalty: $1,586,182
Year: 2011
Date: March 21, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Plein Enterprises agreed to pay restitution of $1,336,182 and a civil penalty of $250,000 jointly and severally with a trust and controlling individuals in settlement of allegations it fraudulently sold unregistered securities in the state without being registered as a dealer.
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.