Regulatory Alerts2013-06-30
Added · Updated
Summer 2013 Securities Bulletin
The Connecticut Banking Commissioner imposed $50,000 fines on Method Films, Thierry Thelemaque, Stilas Financial Services, S.A., and Matthew Bennett Greene for offering unregistered securities and violating antifraud provisions. Mohr & Moore, LLC and William Elmer Moore were each fined $50,000 for selling unregistered commodity investment contracts and failing to disclose material risks. First Financial LLC and Feisal Sharif were each fined $200,000 for pooling over $6 million in investor funds, commingling assets, and violating registration and antifraud rules. The Commissioner granted a petition for reconsideration for John and Susan Calash, vacating prior default fines and rescinding permanent cease and desist orders due to lack of notice. Consent orders were entered against ProEquities, Inc. for a $8,207.55 fine; Michael P. Healey and related entities for a ten-year bar from securities activities; and DFS Capital Management, LP, John Vincent Greco, and DFS Fund for a ten-year bar and restitution obligations. Sageworks Capital Inc. received conditional broker-dealer registration restricted to accredited investors for two years.
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