Regulatory Alerts2019-07-12
Added · Updated
Consent Order No. CO-19-8434-S: David E. Houge
The Connecticut Banking Commissioner entered a Consent Order against David E. Houge for violating the Connecticut Uniform Securities Act by offering and selling unregistered securities of Vintage Foods Ltd. to an investor in 2015. Houge is barred from offering or selling securities in Connecticut, transacting business as a broker-dealer or investment adviser, or acting in any capacity requiring Commissioner licensure for seven years. The order also requires Houge to cease and desist from violating the Act and prohibits him from denying the factual basis of the allegations or taking inconsistent positions in future proceedings.
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