Rhodes, James Ernest
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
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