Regulatory Alerts2009-03-13
Added · Updated
News Bulletin 2351 - March 13, 2009
Fairfield County Bank is authorized to open a branch at 840-860 East Main Street in Ridgefield, Connecticut. Lawrence S. Dressler d/b/a DRE Mortgage must pay a $1,000 voluntary contribution to the State Regulatory Registry LLC to resolve allegations of employing an unregistered loan originator. Morgan Stanley & Co. Incorporated must pay $85,879 to the State of Connecticut, including a $25,000 administrative fine and $50,000 for financial literacy initiatives, following a consent order regarding unregistered securities sales.
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