The allegations read: While registered as an investment advisor in the state of illinois, david richard geake entered into a letter of acceptance, waiver and consent (\\u201cawc\\u201d) with finra a self-regulatory organization registered under federal act. Pursuant to awc no. 2021072679901, on july 23, 2023, geake violated rules 3280 and rule 2010, based upon the following facts. Prior to association with ausdal partners geake raised funds through sale of common stock, invested $10,000 in and was on the board of directors of a startup comp
