Regulatory Alerts2018-03-23
Added · Updated
Bulletin 2822 - March 23, 2018
The Connecticut Department of Banking processed branch applications for Farmington Bank and Nutmeg State Financial Credit Union, Inc. to open full-service branches. The Commissioner entered into consent orders requiring Allied Collection Services to pay a $10,000 civil penalty and Servion, Inc. to pay a $500 penalty for licensing and registration violations. Several securities firms and individuals, including Augment Securities Inc., Pearson and Associates, LLC, SF Investments, Inc., Matthew Charles Woodard, and Toppikgink 539, LLC, agreed to pay fines ranging from $500 to $20,000 and implemented compliance measures or cease-and-desist orders for various regulatory breaches.
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