Latest sanction the result of misleading regulators about firm’s ownership and control.

Regulator analyzes feedback to policy options proposed in January.

Also sanctioned for borrowing $30,000 from another client and for misleading firms.

Incomplete representative change forms sent to clients for signatures.

Four sanctioned in total after principal approved person reports his licensed assistant.

Regulator stops short of imposing monetary penalty, saying conviction is sufficient for general deterrence.

Names and sanctions re-published in annual consolidated report.