Regulatory Alerts2021-04-23
Added · Updated
Order Imposing Fine on Travis Smith
The Banking Commissioner imposes a $300,000 fine on Travis Smith for violations of the Connecticut Uniform Securities Act and related regulations, including dishonest or unethical practices in the securities business. The Respondent failed to request a hearing within the required 14-day period, leading to the permanent issuance of prior cease and desist and restitution orders. Travis Smith must remit the fine to the State of Connecticut via cashier’s check, certified check, or money order within 45 days of the order's mailing.
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