Regulatory Alerts2017-07-14
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Bulletin 2786 - July 14, 2017
The Connecticut Department of Banking reports that Rent Recovery Solutions LLC entered a Consent Order to cease unlicensed consumer collection activities and paid a $10,000 civil penalty. Benjamin F. Edwards & Company, Inc. agreed to a $500 fine for engaging unregistered investment adviser agents. Additionally, the Commissioner issued a default order against Robert Lawrence Gray, fining him $200,000 and making a prior cease and desist order permanent for acting as an unregistered investment adviser and engaging in unethical practices.
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