Regulatory Alerts2008-03-31
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Spring 2008 Securities Bulletin
The Connecticut Banking Commissioner imposed administrative fines and enforcement orders on several entities and individuals for securities violations, including TrapTek, LLC and Axiom International Investors LLC for delinquent filings, and Louis John Liberatore, Sr. and Albert Robert Puccerella III for unregistered agent activity. The Commissioner revoked Kevin Patrick Brennan’s agent registration and barred him for seven years for supervisory deficiencies, while fining Steven G. Morton and Oxford Micro Devices, Inc. $20,000 each for fraudulent securities sales. Additionally, the bulletin reports that Karl Ramonas pleaded guilty to mail fraud in a federal prosecution, with sentencing scheduled for May 16, 2008.
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