Regulatory Alerts2022-08-12
Added · Updated
Stipulation and Agreement: Aldwych Securities LLC
Aldwych Securities LLC agrees to pay a $5,000 administrative fine to the Connecticut Banking Commissioner to settle violations involving the employment of two unregistered agents and the failure to timely report two net capital deficiencies in 2020. The firm, which does not admit or deny the allegations, waives its right to judicial review and commits to refraining from future violations of the Connecticut Uniform Securities Act. This settlement resolves the matter in lieu of administrative proceedings initiated by the Commissioner's investigation.
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