Third Comma, LLC
License or Case Number
CRD # 321950
Date of Initial Action
04/17/2024
Date of Most Recent Action
05/18/2024
Other Names
Simpson, Richard W.
Party
Third Comma, LLC; Simpson, Richard W.
Documents
- 04/17/24 – Accusation (PDF)
- 04/17/24 – Notice of Intent (PDF)
- 05/18/2024 – Settlement Agreement (PDF)
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.
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