Regulatory Alerts2022-01-07
Added · Updated
Bulletin 3020 - January 7, 2022
The Connecticut Department of Banking solicits written comments on Arrha Credit Union's application to establish a branch in Enfield, Connecticut, with submissions due within ten business days. The Banking Commissioner issued a Conditional Registration to The Financial Wellness Center LLC as an investment adviser, restricting its activities for three years due to the managing member's lack of required experience. Additionally, an Order to Cease and Desist and Notice of Intent to Fine were issued against Pusser’s Holdings Investment LLC, Harbor Cap Partners LLC, and Stuart Jamieson for selling approximately $3.2 million in unregistered securities between 2015 and 2017.
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