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Violation Tracker Individual Record

Company: Oak Capital Partners, LLC
Penalty: $1,198,851
Year: 2018
Date: January 3, 2018
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Oak Capital Partners and its controlling individuals were ordered to pay $1,098,851 in restitution and $100,000 in administrative penalties in an Order finding they fraudulently sold securities in the state while unlicensed.
Level of Government: state
Action Type: agency action
Agency: Arizona Corporation Commission
Civil or Criminal Case: civil
Facility State: Arizona
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.