Regulatory Alerts2007-11-02
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News Bulletin 2280 - November 2, 2007
The Connecticut Department of Banking announces enforcement actions under the Connecticut Uniform Securities Act, including a permanent injunction and $35,000 fine against Kenneth Von Kohorn for unregistered investment advisory activity. The Commissioner issued Orders to Cease and Desist and Notices of Intent to Fine against Albert Robert Puccerella III and Louis John Liberatore, Sr. for effecting securities transactions while unregistered as agents. Additionally, fines of $20,000 each were imposed on Argyle Capital, LLC and Quintin Geoffrey Marshall for selling unregistered securities and violating antifraud provisions.
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