Regulatory Alerts2019-02-15
Added · Updated
Stipulation and Agreement with Silver Pine Capital, LLC
Silver Pine Capital, LLC agrees to pay $1,265 to the State of Connecticut, comprising a $1,000 administrative penalty and $265 for past due registration fees, to resolve allegations that it operated as an unregistered investment adviser in the state from 2018 forward. The firm must comply with all statutory registration requirements and implement necessary supervisory and compliance procedures. This agreement waives Silver Pine Capital's right to judicial review and remains binding upon execution by the Banking Commissioner.
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