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Docket No. S-03539A-03-0000

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IV.

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VIOLATION OF A.R.S. § 44-1841

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(Offer or Sale of Unregistered Securities)

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47. YUCATAN was also the subject of an administrative cease and desist order from the

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Pennsylvania Securities Commission in October, 2002, based on multiple registration and fraud violations

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48. Arizona investors were never informed, either by YUCATAN sales agents or through

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YUCATAN promotional literature, that YUCATAN or any YUCATAN-related entities had previously

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...

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as proscribed under the Pennsylvania Securities Act.

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been the subject of various orders based on multiple violations of state securities laws.

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46. YUCATAN was also the subject of an administrative order by Oklahoma Department of

Securities in August, 2001, arising out of possible violations of the Oklahoma Securities Act.

investment contracts, within or from Arizona.

50. The securities referred to above were not registered pursuant to the provisions of Articles 6 or

7 of the Securities Act.

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51. This conduct violates A.R.S. § 44-1841.

49.

From on or about December 2001, RESPONDENTS offered or sold securities in the form of

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V.

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VIOLATION OF A.R.S. § 44-1842

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(Transactions by Unregistered Dealers or Salesmen)

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...

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...

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52. RESPONDENTS offered or sold securities within or from Arizona, while not registered as

dealers or salesmen pursuant to the provisions of Article 9 of the Securities Act.

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