Division of Administrative Hearings, Florida
Filed: Feb. 22, 1993
Whether Respondent Brooks & Wilt, through its principle, Respondent Wayne E. Wilt, held itself out to the public as an investment adviser and rendered investment advice to Florida residents while not lawfully registered nor lawfully exempt from registration as alleged in the Administrative Complaint and the penalties, if any, that should be imposed.Respondents proved they were exempt from registration. Administrative Complaint based on failure to register should be dismissed.
