Investment Advisory Services
Q Financial Design LLCInformation and Alerts
Alert Details
This business has 1 alert.
Government Actions
Arizona Corporation Commission v Q Financial Design LLC and David F. Evans
The following describes a government action that has been resolved by either a settlement or a decision by a court or administrative agency. If the matter is being appealed, it will be noted below.
On October 4, 2023, Q Financial Designs LLC and David F. Evans entered into an Order to Cease and Desist, Order for Administrative Penalties, and Consent to Same with the Arizona Corporation Commission. The Order settles allegations that the business failed to renew their license for 2022 resulting in the termination of the license on December 31, 2021, and transacted business in the state as an investment adviser and as an investment advisor representative, while neither licensed or exempt. Under terms of the Order, the business was ordered to cease and desist and shall jointly and severally pay an administrative penalty in the amount of $1,000.
This action is final.
BBB Business Profiles may not be reproduced for sales or promotional purposes.
BBB Business Profiles are provided solely to assist you in exercising your own best judgment. BBB asks third parties who publish complaints, reviews and/or responses on this website to affirm that the information provided is accurate. However, BBB does not verify the accuracy of information provided by third parties, and does not guarantee the accuracy of any information in Business Profiles.
When considering complaint information, please take into account the company's size and volume of transactions, and understand that the nature of complaints and a firm's responses to them are often more important than the number of complaints.
BBB Business Profiles generally cover a three-year reporting period. BBB Business Profiles are subject to change at any time. If you choose to do business with this business, please let the business know that you contacted BBB for a BBB Business Profile.
As a matter of policy, BBB does not endorse any product, service or business. Businesses are under no obligation to seek BBB accreditation, and some businesses are not accredited because they have not sought BBB accreditation. BBB charges a fee for BBB Accreditation. This fee supports BBB's efforts to fulfill its mission of advancing marketplace trust.