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Violation Tracker Individual Record

Company: Investment Midwest LLC
Penalty: $836,936
Year: 2017
Date: October 20, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Investment Midwest and one individual were ordered to pay $787,590 in restitution and $23,346 in costs, and the company was ordered to pay a total of $26,000 in civil penalties in an Order finding they fraudulently sold unregistered securities in the state without being registered to deal in securities.
Level of Government: state
Action Type: agency action
Agency: Missouri Secretary of State-Securities
Civil or Criminal Case: civil
Facility State: Missouri
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.