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Violation Tracker Individual Record

Company: Southwest Capital Advisors LLC
Penalty: $264,558
Year: 2005
Date: March 29, 2005
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Southwest Capital Advisors and its controlling individual agreed to pay $254,558 in restitution and a $10,000 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)
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.