Regulatory Alerts2021-10-15
Added · Updated
Stipulation and Agreement with Davinci Capital Management, Inc.
Davinci Capital Management, Inc. agrees to pay a $2,500 administrative fine to the State of Connecticut for operating an unregistered branch office in Hartford from April 2015 through May 2021. The settlement resolves allegations of violating Section 36b-6(d) of the Connecticut Uniform Securities Act without admitting or denying the charges. Davinci must cease any future violations of the Act and waives its right to judicial review of the agreement.
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