Regulatory Alerts2020-07-24
Added · Updated
Stipulation and Agreement: Monitor Capital, LLC
Monitor Capital, LLC agrees to pay $6,720 to the State of Connecticut, comprising a $5,000 administrative fine and $1,720 in past due registration fees, to settle allegations that it operated as an unregistered investment adviser. The settlement requires the firm to register as an investment adviser and prohibits future violations of the Connecticut Uniform Securities Act. The agreement is executed in lieu of administrative proceedings and becomes binding upon signature by the Banking Commissioner.
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