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Violation Tracker Individual Record

Company: Benchmark Financial Services, Inc.
Penalty: $100,000
Year: 2007
Date: July 20, 2007
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Benchmark Financial Services and its owner agreed to pay $297,092 in settlement of allegations it violated violated state regulations for investment advisors, including lack of certification and deceptive practices. If it made paid the first $100,000 on the agreed schedule it would be relieved from paying the remaining balance.
Level of Government: state
Action Type: agency action
Agency: California Department of Financial Protection and Innovation
Civil or Criminal Case: civil
Facility State: California
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.