Regulatory Alerts2019-03-22
Added · Updated
Soma Equity Partners, LP Stipulation and Agreement
Soma Equity Partners, LP agrees to pay $1,825 to the State of Connecticut, comprising a $1,500 administrative penalty and $325 in reimbursement for past due investment advisory notice filing fees. This settlement resolves allegations that the adviser failed to file required notices and pay associated fees under Section 36b-6(e) of the Connecticut Uniform Securities Act from 2016 until December 7, 2018. The adviser must also refrain from future violations of the Act and its Regulations regarding notice filing and fee requirements.
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