Violation Tracker Individual Record

Company: 
DFS Capital Management, LP and DFS Fund, Limited Partnership
Penalty: 
$414,000
Year: 
2013
Date: 
July 25, 2013
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

DFS was ordered to pay a $100,000 fine and $314,000 in restitution in an Administrative Order finding that it had sold securities in a deceptive manner and violated a previous Consent Order.

Level of Government: 
state
Action Type: 
agency action
Agency: 
Connecticut Securities and Business Investments Division
Civil or Criminal Case: 
civil
Facility State: 
Connecticut
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.