Mingo, Timothy Clark; Regent Investment Advisors, Inc.
Date of Initial Action
03/24/2020
Date of Most Recent Action
05/14/2021
Defendant/Respondent
Regent Investment Advisors, Inc.; Mingo, Timothy Clark
Documents
- 03/24/20 – Accusation (PDF)
- 05/14/21 – Office of Administrative Hearing Decision (PDF)
About the Regulated Entity
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