Regulatory Alerts2019-05-03
Added · Updated
Stipulation and Agreement: Ralph Steven Giorgio
Ralph Steven Giorgio is required to pay a $2,500 administrative fine to the State of Connecticut for transacting business as an unregistered investment adviser agent. The agreement mandates that Giorgio refrain from violating the Connecticut Uniform Securities Act or engaging in similar unregistered activities in the future. This settlement resolves the investigation without initiating formal administrative proceedings, and Giorgio waives his right to judicial review of the terms.
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