Kentucy Enters Order with Bruce Hanks over REIT Sales

Bruce Hanks (CRD 2916399) and Wealth Management of Kentucy have entered into a consent order with the State of Kentucy. The consent order deals with the marketing of REITs and business development corporations. According to the Order, Hanks hosted seminars at the Hyatt Recency Hotel in Lexington, Kentucky on March 20, 2019. The purpose of […]

Westlake Financial Enters Consent Order with Kentucky

underwriter liability

Rodney Westlake (CRD 493339) and Witters & Westlake Financial have entered into a consent order with the state of Kentucy. In Kentucky, the Department of Financial Institutions has jurisdiction over the Securities Act of Kentucky. Here is a copy of the order: Print this Article

Tashari Financial Group Enters Order With Kentucky

Tashari Berry (CRD 6025889) and Tashari Financial Group have entered into a consent order with the State of Kentucy. In Kentucky, the Department of Financial Institutions has jurisdiction to enforce the Securities Act of Kentucy. Here is a copy of the order with Tashari Financial Group: Print this Article