Regulatory Alerts2007-06-15
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News Bulletin 2260 - June 15, 2007
The Connecticut Department of Banking approved Liberty Bank to relocate and open a limited branch in Southington. The Commissioner entered into stipulations with York Stockbrokers, Inc. and GDC Securities, LLC for securities registration violations, imposing fines of $4,500 and $1,200 respectively, along with compliance and reporting requirements. A consent order conditioned Charles Morgan Securities, Inc.'s registration on restrictions to specific securities types and a $2,500 payment, while another order directed The Private Mortgage Fund, LLC to offer rescission to investors and pay a $20,000 fine for selling unregistered securities.
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