| Document Date: 2012-12-26 15:52:24
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Company Financial Industry Regulatory Authority / Financial Institutions / / IndustryTerm advisory services / fraudulent device / miscellaneous services / / Organization office of Financial Institutions / Securities Chapter / Securities and Exchange Commission / Governor office of Financial Institutions Dishonest / / Person Salesmen / A. Dealers / A. Any / / Position custodian / investment adviser / investment adviser representative / Governor / investment adviser representative / investment adviser / the investment adviser representative / dealer / salesman / General / dealer / same dealer / underwriter / salesman / salesman / investment adviser / commissioner / Adviser / Investment Adviser / John Ducrest Commissioner / /
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RULE Office of the Governor Office of Financial Institutions Dishonest or Unethical Practices (LAC 10:XIII.1201 and[removed]In accordance with the Louisiana Securities Law (hereinafter “the LSL”), R.S. 51:701, et