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Violation Tracker Individual Record

Company: Flatiron Capital Partners, LLC et al.
Penalty: $125,000
Year: 2015
Date: January 23, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Flatiron Capital Partners, LLC, Flatiron Systems, LLC, Spyglass Equity Systems, Inc., Landmark Asset Management, Inc. and one of their owners were judged jointly and severally liable for a civil penalty of $125,000 for multiple violations of the Alaska Securities Act by misleading and deceptive sales of unsuitable securities and failing to be registered in the state.
Level of Government: state
Action Type: agency action
Agency: Alaska Division of Banking and Securities
Civil or Criminal Case: civil
Facility State: Alaska
Source of Data: (click here)
Notes: There was a separate Federal criminal case over the allegations.
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.