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FINRA Broker Allegations

Allegations against: Bert Kenji Takita

Allegation type: Regulatory

Allegation status: Final

The allegations read: Without admitting or denying the findings, takita consented to the sanctions and to the entry of findings that he engaged in several obas without providing prior written notice to his member firm. The findings stated that takita's activities were outside the scope of his relationship with the firm and included businesses related to insurance sales; the purchase, development, sale, and management of real property; and solar panel sales and installation. Takita received compensation from his insurance business; and he served as an owner, manager, or member of the companies through which he conducted his real estate and solar panel businesses.

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