RegAlertEnforcement · CTDOB · 16 May 2025
Bulletin 3195 - May 16, 2025
The Banking Commissioner issued Notices of Intent to Revoke Broker-dealer registration for SWCD LLC and Growthpoint Technology Partners, LLC due to violations of Section 36b-31-6a(a) of the Connecticut Uniform Securities Act for failing to register at least one agent. Both firms were cited for being unresponsive to the agency's attempts to remedy these registration deficiencies. Each entity has been afforded the right to request a hearing, with written comments on these actions due within ten business days of the bulletin's date.
State of Connecticut
Department of Banking
The Department of Banking News Bulletin
Bulletin # 3195 - Week Ending May 16, 2025
This Bulletin constitutes the only official notification you will receive from this office concerning any of the following applications. Any observations you may have are solicited. Any comments should be directed to Jorge L. Perez, Banking Commissioner. Written comments will be considered only if they are received within ten business days from the date of this bulletin.
SECURITIES AND BUSINESS INVESTMENTS DIVISION ACTIVITY
SWCD LLC a/k/a Campfire Capital (CRD No. 168457)
On May 15, 2025, the Banking Commissioner issued a Notice of Intent to Revoke Registration as a Broker-dealer and Notice of Right to Hearing (No. NR-25-15-S) with respect to SWCD LLC of 81 Campfire Road, Chappaqua, New York 10514. The firm, which operates under the trade or assumed name Campfire Capital , has been registered as a broker-dealer in Connecticut since January 30, 2015.
The action alleged that the firm violated Section 36b-31-6a(a) of the Regulations under the Connecticut Uniform Securities Act by failing to register at least one broker-dealer agent. The action also alleged that the firm was not responsive to the agency's attempts to remedy the problem.
SWCD LLC was afforded an opportunity to request a hearing on the allegations in the Notice of Intent to Revoke Registration as a Broker-dealer.
Growthpoint Technology Partners, LLC (CRD No. 137438)
On May 15, 2025, the Banking Commissioner issued a Notice of Intent to Revoke Registration as a Broker-dealer and Notice of Right to Hearing (No. NR-25-14-S) with respect to Growthpoint Technology Partners, LLC of 601 California Street, Suite 1250, San Francisco, California 94108. The firm has been registered as a broker-dealer under the Connecticut Uniform Securities Act since September 2, 2011.
The action alleged that the firm violated Section 36b-31-6a(a) of the Regulations under the Connecticut Uniform Securities Act by failing to register at least one broker-dealer agent. The action also alleged that the firm was not responsive to the agency's attempts to address the problem.
Growthpoint Technology Partners, LLC was afforded an opportunity to request a hearing on the allegations in the Notice of Intent to Revoke Registration as a Broker-dealer.
Dated: Tuesday, May 20, 2025
Jorge L. Perez
Banking Commissioner
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