Case summary
On August 25, 2025, the Washington State Department of Financial Institutions Division of Securities entered a Consent Order (S-25-3934-25-CO01) against Faubion Wealth Management LLC and Matthew Faubion.
Order details
Order File: S-25-3934-25-CO01
Laws & Rules: RCW 21.20.040
Penalties/Remedies:
- Disgorgement of fees
- Investigative costs: $1,000
- Cease and desist
Findings
- Respondents violated the Securities Act by acting as an investment adviser and/or investment adviser representative while not registered to do so.
The Respondents waived their right to a hearing and to judicial review of the matter.