Regulatory Alerts2021-07-16
Added · Updated
Consent Order Regarding Geneva Financial, LLC
Geneva Financial, LLC must pay a $500 civil penalty to the State of Connecticut for failing to file a branch office address change with the NMLS at least thirty days prior to the move and for not providing the required surety bond endorsement. The consent order resolves the enforcement action regarding this violation, provided the company discloses the order on NMLS and complies with its terms. Geneva Financial also acknowledges that the order is a public record and represents that it has updated internal controls to ensure future timely filings.
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