Regulatory Alerts2020-10-16
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Bulletin 2956 - October 16, 2020
Quint Wealth Management, Inc. agreed to pay $5,000, comprising a $4,500 administrative fine and $500 in reimbursement for past due registration fees, to resolve allegations of employing an unregistered investment adviser agent. Edward Kenneth Crowe was fined $10,000 and ordered to disgorge $4,500 in remuneration to affected investors for selling unregistered securities in Woodbridge Group of Companies investment funds. Both entities must cease and desist from further regulatory violations under the Connecticut Uniform Securities Act.
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