Regulatory Alerts2016-02-05
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Bulletin 2711 - February 5, 2016
The Connecticut Department of Banking entered a Consent Order against Thomas E. Seiler, prohibiting him for ten years from transacting business as a broker-dealer, agent, investment adviser, or investment adviser agent in Connecticut and imposing a $1,500 fine for offering unregistered securities. The Department also executed a Stipulation and Agreement with Peter R. Mack & Co., Inc. and its president, requiring the firm to register as an investment adviser and pay $3,870 jointly and severally, comprising a $3,000 administrative fine and $870 in past due registration fees for violations of the Connecticut Uniform Securities Act.
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