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Violation Tracker Individual Record

Company: Oakbridge Financial Services, Inc. and Private Label Money Management, Inc.
Penalty: $750,104
Year: 2018
Date: June 4, 2018
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: Oakbridge Financial Services, Inc.. Private Label Money Management, Inc. and three individuals were ordered to pay $314,772 in restitution and $25,332 in costs, and the companies were ordered to pay a total of $410,000 in civil penalties in an Order finding multiple violations of the Missouri Securities Act concerning dishonest practices and failure to supervise or report.
Level of Government: state
Action Type: agency action
Agency: Missouri Secretary of State-Securities
Civil or Criminal Case: civil
Facility State: Missouri
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.