Regulatory Alerts2015-03-27
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Bulletin 2666 - March 27, 2015
Customized Mortgage Solutions, LLC paid a $500 civil penalty for failing to timely file quarterly mortgage call reports. Meyers Associates, L.P. and its CEO Bruce Meyers paid a $50,000 fine and agreed to a 60-day suspension of the firm's Connecticut broker-dealer registration for supervisory failures, selling unregistered securities, and record-keeping violations. The firm must retain an independent compliance consultant, restrict its Connecticut business activity to specific securities for three years, and withdraw Meyers' agent registration.
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