Violation Tracker Individual Record
Company:Derivium Capital, LLC
Date:June 2, 2006
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:consumer protection violation
Derivium Capital agreed to pay $750,000 in settlement of allegations it acted as a finance lender without a license and induced the buying and selling of securities without a license.
Level of Government:state
Action Type:agency action
Agency:California Department of Financial Protection and Innovation
Civil or Criminal Case:civil
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