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Violation Tracker Individual Record

Company: Scottsdale Financial Funding Group, LLC
Penalty: $3,391,570
Year: 2003
Date: January 28, 2003
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Scottsdale Financial Funding Group, LLC and its controlling individual agreed to pay $3,366,570 in restitution and a $25,000 administrative penalty in settlement of allegations they 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.