Regulatory Alerts2007-09-21
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News Bulletin 2274 - September 21, 2007
The Banking Commissioner entered a Consent Order barring Gregory J. Duffy from transacting business in Connecticut as a broker-dealer, agent, investment adviser, or agent of issuer for ten years. The order stems from allegations that Duffy acted as an unregistered broker-dealer agent and used unapproved, misleading sales scripts between October 2006 and February 2007. Duffy may reapply for registration after seven years, and the order directs him to cease and desist from regulatory violations.
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