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ROSEN v. COM., PUBLIC PROTECTION CABINET

No. 2013-CA-001211-MR.

451 S.W.3d 669 (2014)

Lawrence ROSEN, Appellant v. COMMONWEALTH of Kentucky, PUBLIC PROTECTION CABINET, DEPARTMENT OF FINANCIAL INSTITUTIONS; and Charles A. Vice, Commissioner, Appellees.

Court of Appeals of Kentucky.

Discretionary Review Denied by Supreme Court February 11, 2015.

Attorney(s) appearing for the Case

Trevor W. Wells , Louisville, KY, for appellant.

Simon Berry , Frankfort, KY, for appellee, Department of Financial Institutions.

Before CAPERTON, CLAYTON, and NICKELL, Judges.

OPINION

Lawrence Rosen appeals from the Franklin Circuit Court's July 5, 2013, Opinion and Order, whereby the court affirmed the Department of Financial Institution's ("DFI") corrected final order finding that Rosen was an unregistered investment adviser in the Commonwealth...

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