Regulatory Alerts2018-11-16
Added · Updated
Bulletin 2856 - November 16, 2018
The Connecticut Department of Banking approved the opening of a full-service branch for American Eagle Financial Credit, Inc. in North Haven. The department issued amended cease and desist orders, restitution orders, and notices of intent to fine Voya Financial Advisors, Inc. for supervisory failures regarding agents involved in improper securities sales and outside business activities. Additionally, LPL Financial LLC entered a consent order to pay a $499,000 penalty and repurchase unregistered securities sold to customers between October 2006 and May 2018.
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