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FINRA Broker Allegations

Allegations against: Richard Craig Hanseen

Allegation type: Regulatory

Allegation status: Final

The allegations read: The advisor has not timely life annual updating amendments to the form adv within 90 days of the fiscal year end or within 30 days after an event that requires filing of an amendment; the advisor is to perform an annual review of its policies and procedures to confirm they reflect its business model and that the procedures are followed.

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