Violation Tracker Individual Record
Company:DFS Capital Management, LP and DFS Fund, Limited Partnership
Date:July 25, 2013
Offense Group:financial offenses
Primary Offense:investor protection violation
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
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