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Violation Tracker Individual Record

Company: Sunnyslope Capital Advisers, L.L.C.
Penalty: $106,801
Year: 2024
Date: April 18, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Sunnyslope and its owner agreed to jointly pay $96,801 restitution and $10,000 penalties in settlement of allegations they acted as an unlicensed investment adviser.
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.