Regulatory Alerts2018-04-27
Added · Updated
Bulletin 2827 - April 27, 2018
The Commissioner approved the merger of Connecticut Community Credit Union, Inc. into CorePlus Federal Credit Union. The Commissioner issued Orders to Cease and Desist, Orders to Make Restitution, and Notices of Intent to Fine against Voya Financial Advisors, Inc. for supervisory failures regarding agents' misconduct, and against Allied Energy, Inc. and SE Ohio Shale & Oriskany Development for offering unregistered securities. Additionally, a Stipulation and Agreement was entered with Hunjo LLC, requiring a $2,500 fine for operating as an unregistered investment adviser.
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