Regulatory Alerts2015-06-30
Added · Updated
Summer 2015 Securities Bulletin
The Connecticut Department of Banking issued orders to cease and desist, restitution orders, and notices of intent to fine against Dale Joseph Quesnel, Sr., and related entities for selling approximately $2.15 million in unregistered securities and violating antifraud provisions. The department also issued permanent cease and desist orders against Greenberg International Law & Tax Advisory and its agents for soliciting unregistered securities transactions and failing to disclose transactional activity. Consent orders imposed a $3,500 fine on Peter D. Hershman for acting as an unregistered investment adviser agent and a $4,050 penalty on M.M. Dillon & Co. LLC for employing unregistered agents and lacking adequate supervisory systems. Additionally, a stipulation and agreement fined Lawrence R. Yurdin and First Connecticut Capital, LLC $5,000 for selling unregistered securities and required three years of legal counsel retention.
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