Case summary
On May 7, 2025, the Washington State Department of Financial Institutions Division of Securities entered a Statement of Charges (S-24-3828-25-SC02) against Justin Sumner.
Order details
Order File: S-24-3828-25-SC02
Laws & Rules: RCW 21.20.040
Penalties/Remedies:
Intent to order: Cease and desist; Disgorge and interest; Fines & costs
Allegations
- From August 18, 2023, to the present, the Respondent provided investment advice and collected advisory fees, without proper registration as an investment adviser representative in Washington state.
This is an amended statement of charges. Initial statement of charges, S-24-3828-24-SC01, was filed on January 15, 2025. The Respondents have a right to request a hearing on the Statement of Charges.