Practical Application

From the day she was initially hired, Amy Adams had a healthy respect for Matt the Branch Manager. He was a dedicated manager who valued the integrity of his team as much as he did the growth of their business. When it came to the buck stopping with someone, Amy was sure that Matt was the top of the food chain in her world.

That was until she got a cease and desist order from her state’s securities administrator. The order, which requested that she cease all securities-related activities immediately, made Amy’s heart sink when she first read it. Apparently, someone in the administrator’s office discovered that Amy’s Social Security number was already used to register another professional in her state. In fact, the professional that apparently had the same Social Security number had her registration revoked five years prior due to substantial ethical and legal violations.

Included in the letter was a copy of Amy’s application for registration and a request that Amy provide any additional information that might clear up t