Florida Office of Financial Regulation

Making a material false statement on the application for registration.

Order

Denial

ON JULY 17, 1997 THE ADVISOR AFFILIATE WAS ARRESTED FOR MISDEMEANOR DUI AND FELONY RESISTING ARREST WITH VIOLENCE. SHORTLY THEREAFTER THE FELONY CHARGE WAS REDUCED AND THE ADVISOR AFFILIATE PLED NO CONTEST TO MISDAMENOR RESISTING ARREST WITHOUT VIOLENCE, FOR WHICH ADJUDICATION OF GUILT WAS WITHHELD. ADVISOR AFFILIATE SUBMITTED AN INCORRECT U-4 FILING IN RELATION TO AN APPLICATION FOR REGISTRATION ON AUGUST 24, 2018 INDICATING HE HAD NOT BEEN CHARGED WITH A FELONY. STATE REQUESTED INFORMATION REGARDING ANY AND ALL OF THE APPLICANT'S CRIMINAL HISTORY. IN FULFILLING THE STATE'S REQUEST FOR BACKGROUND INFORMATION RELATED TO THE DUI INCIDENT THE APPLICANT REALIZED THE MISTAKE. ALTHOUGH THE CASE WAS RESOLVED AS A MISDEMEANOR IT HAD A COMPONENT THAT HAD ORIGINALLY BEEN CHARGED AS A FELONY. APPLICANT THEN AMENDED THE U-4 FILING AND ADVISED THE STATE ABOUT THE MISTAKE AND PROVIDED THE REQUESTED BACKGROUND INFORMATION. THE STATE THEN ISSUED APPLICANT A NOTICE OF INTENT TO DENY APPLICATION ON FEBRUARY 6, 2019. THE APPLICANT ENTERED INTO A STIPULATION AND CONSENT AGREEMENT ON APRIL 24, 2019 WITHOUT ADMITTING OR DENYING THE FINDINGS WHEREBY THE APPLICANTS APPLICATION FOR REGISTRATION AS AN INVESTMENT ADVISER ASSOCIATED PERSON WAS DENIED WITH LEAVE FOR APPLICANT TO SUBMIT A NEW APPLICATION AFTER MAY 12, 2019.

Resisting Officer with Violence

Reduced

Resisting Officer Without Violence

MISDEMEANOR

Adjudication of Guilt Withheld

ON JULY 17, 1997 THE ADVISOR AFFILIATE WAS ARRESTED FOR MISDEMEANOR DUI AND FELONY RESISTING ARREST WITH VIOLENCE. SHORTLY THEREAFTER THE FELONY CHARGE WAS REDUCED AND THE ADVISOR AFFILIATE PLED NO CONTEST TO MISDAMENOR RESISTING ARREST WITHOUT VIOLENCE, FOR WHICH ADJUDICATION OF GUILT WAS WITHHELD.