Rosen v. Commonwealth, Public Protection Cabinet, Department of Financial Institutions

OPINION

CAPERTON, Judge:

Lawrence Rosen appeals from the Franklin Circuit Court’s July 5, 2013, *671Opinion 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; the court affirmed the penalties and fines assessed against Rosen by the DFI. After a thorough review of the parties’ arguments, the record, and the applicable law, we affirm.

Rosen operates a sole proprietorship under the name Larry Rosen Co. out of his home in Louisville, Kentucky. Rosen entered into a…