Focal Point Capital Management, LLC; Focal Point Financial Group, Inc.
Date of Initial Action
10/20/2020
Date of Most Recent Action
11/26/2024
Defendant/Respondent
Focal Point Capital Management, LLC; Focal Point Financial Group, Inc.; Chan, Alfred Kai Kwong
Documents
- 10/20/20 – Desist and Refrain Order (PDF)
- 08/27/24 – Accusation – Chan, Alfred Kai Kwong (PDF)
- 08/27/24 – Accusation – Focal Point Capital Management, LLC (PDF)
- 11/26/24 – Order Barring (PDF)
- 11/26/24 – Notice of Errata (PDF)
- 11/26/24 – Order Revoking (PDF)
About the Regulated Entity
If you have further questions or need more assistance, please call the DFPI’s Consumer Services Office at: 1-866-275-2677.
Last updated: