Brett Rounsaville, Investment Advisor
Date of Initial Action: 01/17/2024
Date of Most Recent Action: 01/17/2024
This page contains desist and refrain orders, civil actions, administrative actions, and hearing decisions issued by the Commissioner of the Department of Financial Protection and Innovation (DFPI) from January 1, 2002, to the present. These actions are against individuals and entities under DFPI jurisdiction. Visit Summary of Actions and Orders for a listing of recent actions by month. For assistance regarding these results, please contact us.
Listed by Entity , Date of Initial Action , and Date of Most Recent Action
Date of Initial Action: 01/17/2024
Date of Most Recent Action: 01/17/2024
Date of Initial Action: 01/04/2021
Date of Most Recent Action: 02/02/2021
Date of Initial Action: 06/25/2003
Date of Most Recent Action: 09/10/2015
Date of Initial Action: 05/28/2008
Date of Most Recent Action: 05/28/2008
Date of Initial Action: 03/29/2019
Date of Most Recent Action: 04/25/2019
Date of Initial Action: 04/23/2008
Date of Most Recent Action: 04/23/2008
Date of Initial Action: 04/03/2020
Date of Most Recent Action: 05/04/2020
Date of Initial Action: 07/28/2008
Date of Most Recent Action: 07/28/2008
Date of Initial Action: 07/28/2008
Date of Most Recent Action: 07/28/2008
Date of Initial Action: 01/08/2021
Date of Most Recent Action: 01/08/2021