Regulatory Alerts2016-06-30
Added · Updated
Summer 2016 Securities Bulletin
The Connecticut Department of Banking revoked the broker-dealer registration of Halcyon Cabot Partners, Ltd., and issued permanent cease and desist orders against Harbor Vista Wealth Management LLC, Robert Neil Tricarico, and RNT Wealth Management LLC for misleading filings, unregistered securities offerings, and fraud. The Department assessed a $5,160 fine against Rockingham Capital Advisors LLC and Scott Little Frew for unregistered investment advisory activity and permanently barred Paul Anthony Steffany from the securities industry following a FINRA bar for misappropriating estate funds. Additionally, the Department entered into a stipulation with John A. Tatoian requiring restitution and legal consultation for offering unregistered securities, and issued cease and desist orders against Entertainment Only, LLC for selling unregistered investment agreements.