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Conseco Equity Sales, Inc.

Conseco Equity Sales, Inc. (CRD #4125, Carmel, Indiana) received a censure and fine of $10,000. According to the findings, the firm permitted representatives to act in a capacity requiring registration without being so registered due to a failure to complete the Regulatory Element of Continuing Education. Additionally, the findings stated that the firm failed to establish, maintain, and enforce written supervisory procedures to ensure compliance with the Regulatory Element of Continuing Education. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C8A020073)

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