Regulatory Alerts2015-07-10
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Bulletin 2681 - July 10, 2015
The Connecticut Department of Banking lists branch applications and closures for Simsbury Bank & Trust, Farmington Bank, Dime Bank, and Nutmeg State Financial Credit Union, requiring public comment within ten days. The Commissioner entered a Consent Order with James D. Graham, ordering him to repay $1,500 in fees over ten installments for unlicensed debt negotiation activities. Additionally, an Order to Cease and Desist and Notice of Intent to Fine were issued against Southridge Real Estate Partners, Ridgebury Partners, LLC, Douglas R. Esposito, and Stephen Murray Hicks for violations of the Connecticut Uniform Securities Act involving unregistered securities offerings and unregistered agents.
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