Violation Tracker Individual Record
: PTK Financial, LLC and Capricorn Income Fund I, LLC
: August 30, 2021
: financial offenses
: investor protection violation
: PTK, Capricorn and two individuals agreed to pay $125,000 in settlement of allegations they failed to ensure records filed with the Department were current and accurate.
Level of Government
: agency action
: Pennsylvania Department of Banking and Securities
Civil or Criminal Case
Source of Data
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Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log