Regulatory Alerts2015-03-31
Added · Updated
Spring 2015 Securities Bulletin
The Connecticut Department of Banking issued administrative orders and consent resolutions against multiple entities and individuals for securities violations, including unregistered offerings, antifraud breaches, and supervisory failures. Specific sanctions included a permanent cease and desist order and $85,000 in fines against Poppin Kettle Franchising, Inc. and Chris T. Gregoris, a $50,000 fine and 60-day broker-dealer registration suspension for Meyers Associates, L.P., and a five-year bar from Connecticut securities business for Andre Paul Young. Additional actions imposed fines ranging from $2,500 to $3,500 on Carolina Financial Securities, LLC and K.C. Ward Financial, LLC, and required restitution and cease and desist orders against James E. Neilsen and Rosemarie Pokorski.
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