Rhodes Investment Advisory
License or Case Number
File No. 923-3091
Date of Initial Action
11/19/2003
Date of Most Recent Action
11/19/2003
Defendant/Respondent
Rhodes Investment Advisory; Rhodes, James Ernest
Documents
- Order To Discontinue Violations Pursuant To Corporations Code Section 25249
- Statement In Support Of Order Levying Administrative Penalties Pursuant To Corporations Code Section 25252
- Statement In Support Of Order To Discontinue Violations Pursuant To Corporations Code Section 25249 And Commissioner’s Intention To Make Order Final
About the Regulated Entity
If you have further questions or need more assistance, please call the DFPI’s Consumer Services Office at: 1-866-275-2677.
Last updated: