Regulatory Alerts2025-05-16
Added · Updated
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.
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