Regulatory Alerts2019-04-26
Added · Updated
Bulletin 2879 - April 26, 2019
Vintage Foods Ltd. agreed to pay a $1,000 fine, refrain from offering securities in Connecticut without compliance, and retain legal counsel for three years after selling unregistered securities to a Connecticut investor. Titan Advisors, LLC remitted $2,975, comprising a $2,500 administrative fine and $475 in reimbursement for past due notice filing fees, to resolve failure to make required regulatory notice filings from 2015 to 2018.
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