Regulatory Alerts2009-06-30
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Connecticut Securities Bulletin Summer 2009
The Connecticut Department of Banking issued enforcement actions and consent orders against multiple entities and individuals for violations of the Connecticut Uniform Securities Act, including selling unregistered securities, employing unregistered agents, and engaging in fraudulent practices. Jesse John Hinkley was barred from Connecticut securities business for ten years and fined $2,500, while Eric John Weiss received a seven-year bar and had his agent registration revoked. American Capital Partners, LLC agreed to pay a $20,000 fine and extend a $12,985 rescission offer to customers, and Fox Run Management LLC was assessed a $2,500 penalty for rendering unregistered investment advisory services. Additionally, broker-dealer OneShare Investments, LLC and agent Martin Scott Sands received conditional registrations with specific operational restrictions and supervisory requirements.
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