Regulatory Alerts2026-04-17
Added · Updated
Final Order — Investment Adviser/Associated Person
The Florida Office of Financial Regulation issued a Final Order against Nicholas Louis Korompilas for rendering investment advice in Florida without proper registration. Korompilas consented to the order, which includes a cease and desist requirement and an administrative fine of $6,875. The Office agreed to approve Korompilas's pending registration application as an associated person of Calamos Wealth Management LLC upon payment of the fine and entry of the order.
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