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Violation Tracker Individual Record

Company: PTK Financial, LLC and Capricorn Income Fund I, LLC
Penalty: $125,000
Year: 2021
Date: August 30, 2021
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: 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: state
Action Type: agency action
Agency: Pennsylvania Department of Banking and Securities
Civil or Criminal Case: civil
Facility State: Pennsylvania
Source of Data(click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.