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Violation Tracker Individual Record

Company: Derivium Capital, LLC
Penalty: $750,000
Year: 2006
Date: June 2, 2006
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: consumer protection violation
Violation Description: 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
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.