Regulatory Alerts2008-06-30
Added · Updated
State of Connecticut Department of Banking Securities Bulletin Summer 2008
The Connecticut Department of Banking imposed fines and sanctions on multiple entities and individuals for securities violations, including Michael M. Reilly who was barred for seven years and fined $7,500 for refusing to produce documents, and Jeffrey Alan Cohan who was fined $5,000 for unregistered security sales. The Department also sanctioned Source Capital Group, Inc. with a $4,000 payment for violating a prior consent order, Bayou Technologies, Inc. with a $10,000 fine for unregistered sales, and One Key LLC with a $500 fine for delinquent filings. Additional actions included a permanent cease and desist order against Java’s Brewin Development, Inc. for violating business opportunity statutes and a stop order denying effectiveness to Blue Coast Financial Group, Inc.'s registration due to materially false disclosures.
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