Washington State Department of Financial Institutions
03/18/2026 | Press release | Archived content
Prestige Investment Management LLC
Case summary
On February 26, 2026, the Washington State Department of Financial Institutions Division of Securities entered a Statement of Charges (S-23-3688-25-SC01) against Prestige Investment Management LLC.
Order details
Order File: S-23-3688-25-SC01
Laws & Rules: RCW 21.20.140
Penalties/Remedies:
- Cease and desist;
- Fines & costs
Allegations
- In 2014, the Respondent offered and sold an unregistered investment to a Washington resident in the form of a Deferred Sales Trust transaction.
- The Respondent is not registered to sell its securities in Washington.
The Respondents have a right to request a hearing on the Statement of Charges.
Order file
Related Order
Washington State Department of Financial Institutions published this content on March 18, 2026, and is solely responsible for the information contained herein. Distributed via Public Technologies (PUBT), unedited and unaltered, on April 06, 2026 at 21:15 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]