Regulatory Alerts2002-06-30
Added · Updated
Summer 2002 Securities Bulletin
The Connecticut Department of Banking proposes expanding electronic delivery of the Securities Bulletin to all IARD participants and warns non-IARD filers to transition to electronic filing by January 1, 2003, in anticipation of federal legislation. The Division issued Notices of Intent to Cancel or Revoke registrations for Ameritrust Securities, Inc. and several agents due to cessation of business or prior suspensions. Enforcement actions included permanent Cease and Desist orders and pending fines against International Market Consultants, LLC, Oxford-Dundee, Inc., East Norwich Foreign Holding Corporation, and multiple individuals for unregistered FOREX activities and fraud. Consent orders fined LH Ross & Company $12,500 and Colchester Investment Counsel LLC $4,500 for various securities violations, while Huntoon Hastings Inc. paid $2,250 for notice filing lapses.
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