Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: RLGMAN Corp. and STABLE, LLC
Penalty: $1,897,393
Year: 2012
Date: February 24, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: RLGMAN Corp., STABLE, LLC and their controlling individual agreed to pay $1.8 million in restitution and a $75,000 administrative penalty settling an Order finding they deceptively 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)
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.