Regulatory Alerts2019-10-25
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Bulletin 2905 - October 25, 2019
The Connecticut Department of Banking entered a Consent Order against Daniel Reens, fining him $4,000 for paying undisclosed fees to an unregistered entity and failing to amend regulatory filings. The Department also imposed a $100,000 fine on GHC Fund One LLC for violating securities laws by misusing investor funds for personal expenses and unrelated investments. Both enforcement actions address violations of the Connecticut Uniform Securities Act and its regulations.
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