Regulatory Alerts2022-12-09
Added · Updated
Bulletin 3068 - December 9, 2022
The Connecticut Department of Banking imposed a $100,000 civil penalty and a cease and desist order on the Law Offices of David M. Katz, P.C. for operating as an unlicensed consumer collection agency. Heron Bay Capital, LLC entered a consent order to pay $6,005 in fines and fees for violating securities registration requirements. Additionally, the Commissioner issued an amended notice of intent to deny broker-dealer registration to NYPPEX, LLC and Laurence Geoffrey Allen based on prior New York court injunctions and regulatory disciplinary actions.
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