Regulatory Alerts2026-07-03
Added · Updated
Stipulation and Agreement with Worcester County Fiduciary Advisors, Inc.
Worcester County Fiduciary Advisors, Inc. d/b/a Worcester Advisors agrees to pay a $2,500 administrative fine and $930 in past due registration fees to the Connecticut Department of Banking. The settlement resolves allegations that the firm violated the Connecticut Uniform Securities Act by operating as an unregistered investment adviser in the state from November 24, 2024, onward. The firm consents to the terms without admitting or denying the violations and waives its right to judicial review. The agreement becomes binding upon execution by the Banking Commissioner and the firm.
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