Regulatory Alerts2011-09-30
Added · Updated
Fall 2011 Securities Bulletin
The Connecticut Department of Banking imposed $100,000 fines on MidAmerica Resources, Air-Byrd/River Joint Venture, Air-Byrd Operations LLC, Lance David Brooks, Regal Royalty Resource, and CherryHomes Joint Venture for selling unregistered securities and engaging in fraudulent conduct. Thomas C. Hanscome was barred from Connecticut securities activity for ten years, while Portfolio Timing Service, William F. Wadsworth Jr., Douglas S. Weiss, and A&F Financial Securities faced fines ranging from $5,000 to $25,000 for various registration and disclosure violations. Daniel Dvorznak and Nicholas George Tsikitas were censured for filing materially false documents, and an enforcement action was issued against The Magic Plunger, LLC for fraudulent security sales.
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