Regulatory Alerts2021-01-29
Added · Updated
Bulletin 2971 - January 29, 2021
Diversified Mortgage Brokerage LLC paid a $500 civil penalty for failing to file a change of address and update its surety bond with the Nationwide Multistate Licensing System and Registry. Chatsworth Securities LLC paid $4,680, comprising a $4,000 administrative fine and $680 in past due registration fees, for acting as an unregistered investment adviser. Both entities resolved these violations through consent orders and stipulations with the Connecticut Department of Banking.
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