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
Notes: 

There was a separate Federal criminal case over the allegations.

Source Notes: 
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Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.