Violation Tracker Individual Record

Company: 
Oak Capital Partners, LLC
Penalty: 
$1,198,851
Year: 
2018
Date: 
January 3, 2018
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

Oak Capital Partners and its controlling individuals were ordered to pay $1,098,851 in restitution and $100,000 in administrative penalties in an Order finding they fraudulently sold securities in the state while unlicensed.

Level of Government: 
state
Action Type: 
agency action
Agency: 
Arizona Corporation Commission
Civil or Criminal Case: 
civil
Facility State: 
Arizona
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.