Regulatory Alerts2026-02-27
Added · Updated
Bulletin 3236 - February 27, 2026
The Connecticut Department of Banking imposed a $10,000 civil penalty and required CapexMD, LLC to pay $800 in back licensing fees and reimburse borrowers who paid interest exceeding 12% annually while unlicensed. The Commissioner also fined registered broker-dealer agent Jason A. Goodhue $15,000 and ordered him to cease and desist for fraudulent electronic communications and unauthorized discretionary trading that resulted in $73,000 in missing client funds.