Regulatory Alerts2004-09-30
Added · Updated
Summer and Fall 2004 Securities Bulletin
The Connecticut Department of Banking imposed fines and enforcement actions against multiple entities for securities violations, including Phymed Partners, Inc. and Vegas International Players, LLP, each fined $20,000 for selling unregistered securities, and Criterion Investment Capital LLC, fined $130,000 for securities fraud. The Commissioner revoked or denied registrations for several broker-dealers and agents, such as Triumph Corporate Finance Group, Inc., Harrison Douglas, Inc., and Ari Dinov, due to dishonest practices, prior sanctions, or federal injunctions. Consent orders were entered against Kevin Dann & Partners, LLC, Butler, Wick & Co., Inc., Retirement and Investment Advisors, LLC, and Christopher L. Bakowski, requiring fines ranging from $4,200 to $11,050, implementation of revised supervisory procedures, and registration compliance. Additionally, 1.800 Vending, Inc. was fined $10,000 for violating the Business Opportunity Investment Act through unregistered offerings and material misrepresentations.
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