The allegations read: The form u5 filed by huntington investment company stated there was an internal review regarding sales practice concerns at the time of the voluntary resignation. The form u5 was filed 30 days after the voluntary resignation and after the rr was hired by his current firm. Maryland determined that the rr could be registered in the state with condition. Therefore, the state issued the order granting conditional agent approval, which requires the firm to provide heightened supervision of the rr for a period of 2 years to ensure there are no concerns or issues with the activities performed in his current role. The heightened supervision must be performed until 8/9/2026, at which time the order will expire and the rr will be fully approved in the state.
