ERIK CONRAD MOREAU is currently employed as a Broker and/or Investment Adviser at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located at 43 MANSFIELD DRIVE, JERICHO, VT, 05465.
ERIK CONRAD MOREAU has worked at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC since September 19, 2006
Disclosure History
ERIK CONRAD MOREAU has 1 Disclosure Event(s).
Date: January 28, 2010 Category: Regulatory Initiated By: DEPT OF BANKING, INSURANCE, SECURITIES AND HEALTH CARE ADMINISTRATION Allegations: I WRONGLY CERTIFIED THAT I HAD SATISFIED MY CONTINUING EDUCATION REQUIREMENT ON MY RENEWAL APPLICATION. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $250.00 Broker Comment: THIS FINE WAS A RESULT OF MISINFORMATION FROM MY REGISTRATION AND LICENSING DEPARTMENT. I WAS GIVEN INSTRUCTIONS TO RENEW MY LICENSE EXPLAINING THAT I WAS EXEMPT FOR THIS RENEWAL, THIS TURNED OUT TO BE INCORRECT, I COMPLETED CE UPON FINDING OU AND WAS STILL FINED FOR SIGNING A RENEWAL FORM STATING THAT CE REQUIREMENTS WERE MET. I HAVE RECEIVED AN APOLOGY FROM MY LICENSING DEPARTMENT, THEY MISTAKENLY USED OUT OF DATE INFORMATION IN RESPONDING TO SEVERAL INQUIRIES ABOUT THESE CE REQUIREMENTS.
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