Real Estate Consultant
Secure Retirement Financial & Insurance Services Corp.Find BBB Accredited Businesses in Real Estate Consultant.
About
Important information
- Government Actions:Consent Order #132777On June 19, 2020, a consent order (CRD NO. 132777), was entered into between Secure Retirement Financial & Insurance Services Corp. (Secure Retirement) and The Commissioner of Business Oversight (CBO).The order stems from the CBO's findings that after a 2018 examination, Secure Retirement was found to be in violation of the Corporate Securities Law of 1968 (CSL).In addition to engaging in investment advisory activities in contradiction of the rules to promote fair, equitable and ethical principals, the company was also alleged to have released a client's funds without authorization or proper consent from the account holder, failure to maintain client suitability records, including client objectives, risk tolerance and financial information, and failure to establish an unearned income account on it's financial records.According to court documents, Secure Retirement was ordered to discontinue the violations and ordered to pay a $45,000.00 administrative penalty.
Business Details
- Local BBB:
- Golden Gate Better Business Bureau
- BBB File Opened:
- 4/24/2007
- Number of Employees:
- 1
Additional Contact Information
- Additional Websites
- Website 1
Additional Information
- Business Categories
- Real Estate Consultant
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