Regulatory Alerts2014-09-30
Added · Updated
Fall 2014 Securities Bulletin
The Connecticut Department of Banking issued administrative actions and consent orders against Nicholas John Moniodes, Michael James Byl, The Right Mortgage Co., Inc., Edmund J. Ramos, Gregory Richard Imbruce, Hunton Oil Genpar LLC, George Jay Prussin, and Syndicated Capital, Inc. for violations including offering unregistered securities, fraud, and supervisory failures. Sanctions included cease and desist orders, fines totaling $90,000, a seven-year bar for Ramos, and specific activity restrictions for Imbruce. The bulletin also provides quarterly statistical summaries of licensing, examinations, and enforcement remedies for the period ending in the third quarter of 2014.
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