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From January 25, 2020, to January 26, 2022, the investment adviser provided advisory services without registration with the Department of Financial Protection and Innovation in violation of Corporations Code section 25230.
Resolution
Consent
Sanctions
Cease and Desist
10/6/2015
Customer Dispute
Award / Judgment
Allegations
Reimbursement of expenses over a seven year period even though they were fully disclosed in the Offering Memorandum given to the client.
Damage Amount Requested
$208,274.75
Damages Granted
$208,275.75
Broker Comment
Expenses that were charged to the client's account were challenged by client for lack of disclosure even though they were fully disclosed in the Offering Memorandum given to the client.
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.
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.