Regulatory Alerts2021-03-19
Added · Updated
Stipulation and Agreement: AE Wealth Management, LLC
AE Wealth Management, LLC agrees to pay a $4,875 settlement to the State of Connecticut, comprising a $4,500 administrative fine and $375 for past registration fees, to resolve violations of the Connecticut Uniform Securities Act. The settlement addresses the firm's engagement of an unregistered investment adviser agent who conducted business in Connecticut between January 2017 and August 2020. AE Wealth Management, LLC consents to the terms without admitting or denying the allegations and waives its right to judicial review. The agreement prohibits the firm from engaging in future conduct that violates the Act or its regulations.
Topics
Share