Regulatory Alerts2009-10-09
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News Bulletin 2381 - October 9, 2009
The Connecticut Department of Banking hosted a Securities Forum on October 20, 2009, to discuss financial services reform and regulatory updates for investment advisers and broker-dealers. The Banking Commissioner entered a Consent Order against Randall Bruce Hyten d/b/a RH Planning & Advisory, barring him from applying for Connecticut investment adviser registration for five years due to unregistered activities conducted from 2006 to 2009.
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