Case Number: File No. 923-3091

Date of Initial Action:

Defendants/Respondents: 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