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Administrative fine for untimely completion of continuing education.
Resolution
Consent
Sanctions
Civil and Administrative Penalty(ies)/Fine(s)
Amount
$250.00
Sanctions
Satisfy CE requirement for reporting period within 60 days of Consent Order.
Broker Comment
This matter did not involve any customer, investment, product, or transaction. It was solely the result of missing the deadline to complete insurance Continuing Education (CE) for the subject period. This was also the first time I have ever missed the deadline.
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
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.