Regulatory Alerts2020-06-12
Added · Updated
Consent Order No. CO-20-8473-S: TPEG Securities, LLC
TPEG Securities, LLC must cease and desist from violating the Connecticut Uniform Securities Act, specifically regarding unregistered securities transactions and unregistered broker-dealer activities. The entity is required to pay $8,950, comprising a $7,500 administrative fine and $1,450 for past due registration fees, no later than the date the order is entered. This consent order resolves allegations that TPEG conducted approximately 27 unregistered transactions and 13 transactions while unregistered between 2010 and 2018.
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