Regulatory Alerts2012-09-30
Added · Updated
Fall 2012 Securities Bulletin
The Commissioner waives Investment Adviser Registration Depository (IARD) system fees for investment adviser firms and reinstates reduced initial set-up and annual fees of $10 for investment adviser agents for 2013. The bulletin details enforcement actions including permanent bars for Stephen Burton Blankenship and Paul Anthony Mozicato, a $10,000 fine for Mullaney Management & Trust, LLC, and a $14,150.94 fine for UVEST Financial Services Group, Inc. as part of a multistate settlement. Additional administrative fines of $5,000 and $1,500 were assessed against Brookville Capital Partners LLC and EQA funds for recordkeeping deficiencies and late notice filings, respectively.
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