Regulatory Alerts2013-03-31
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Spring 2013 Securities Bulletin
The Connecticut Department of Banking invites members of the Connecticut Bar to provide comments on proposed amendments to the Regulations under the Connecticut Uniform Securities Act through four task forces covering investment advisers, broker-dealers, exempt securities, and enforcement. The Bulletin details several enforcement actions, including the rescission of default orders against John and Susan Calash and the imposition of $50,000 and $20,000 fines against Stead-Fast Custom Linings, LLC and Christopher Borgo for selling unregistered securities and violating antifraud provisions. Additional actions include summary suspensions of J. Capital Advisors, LLC and Aaron Jousan Johnson for failing to permit examinations and deducting undisclosed fees, cease and desist orders against Mohr & Moore, LLC and William Elmer Moore for offering unregistered foreign currency contracts, and restitution orders against Method Films, Inc. and others for unregistered film financing. The document also records a permanent cease and desist and restitution order against Connecticut Foreclosure Division Corp. and Alfred R. Beauchamp for selling unregistered promissory notes and misusing investor funds.
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