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Violation Tracker Individual Record

Company: Theodore J. Hogan & Associates, LLC
Penalty: $2,253,310
Year: 2011
Date: March 3, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Theodore J. Hogan & Associates, LLC along with its controlling individual, were ordered to pay $2,208,310 in restitution and administrative penalties of $45,000 in an Order finding they 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)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.