This case highlights the importance of broker supervision, and how it is important to ensure that only licensed individuals engage in licensed activity. Further, it demonstrates the importance of having policies pertaining to advertising and that you must enforce the policies in your office.

This case highlights the importance of broker supervision regardless of the size of the firm. It is important for brokers to maintain appropriate records, and know the activities of their agents. While this task may seem particularly important when a brokerage firm has multiple salespeople, it is required by the regulations regardless of the size of the firm.