Regulatory Alerts2026-07-31
Added
Stipulation and Agreement with Kane Financial Planning, LLC
Kane Financial Planning, LLC, an investment adviser, entered into a Stipulation and Agreement with the Connecticut Banking Commissioner to resolve a violation of Section 36b-6(d) of the Connecticut Uniform Securities Act. The firm transacted investment advisory business from an unregistered branch office in Avon, Connecticut, which was discovered during a March 25, 2026 examination. Under the agreement, Kane must pay an administrative fine of $2,500 and a $125 reimbursement for a past due branch office registration fee, totaling $2,625, by July 28, 2026. Additionally, Kane and its affiliates must refrain from future violations of the Act or any related regulations, rules, or orders.
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