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The respondents provided investment advisory services to their clients without registering or qualifying for an exemption under Tenn. Code Ann. § 48-1-109.
Resolution
Order
Sanctions
Civil and Administrative Penalty(ies)/Fine(s)
Amount
$3,000.00
Sanctions
Undertaking
Sanctions
The respondent must complete twelve (12) hours of investment adviser continuing education by February 28, 2023
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.