Regulatory Alerts2018-06-08
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Bulletin 2833 - June 8, 2018
The Department of Banking approved Mutual Security Credit Union to open a branch in Wallingford, CT. A consent order required Trident Asset Management and related entities to pay $20,000 in civil penalties and $400 in licensing fees for operating as unlicensed consumer collection agencies. The Commissioner issued cease and desist orders and notices of intent to fine John A. Pinheiro and Leland Energy, Inc. for securities law violations, including false testimony and selling unregistered interests. Additionally, a notice of intent to revoke broker-dealer registration was issued to Wilbanks Securities, Inc. due to cessation of business and FINRA cancellation.
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