Regulatory Alerts2001-12-31
Added · Updated
Winter 2001 Securities Bulletin
The Connecticut Department of Banking waives the joint and several liability undertaking for employers of agents seeking multiple registration when the employers are affiliated or under common management and control. The Department establishes a policy to retain administrative orders and settlements on its website for ten years. The bulletin details enforcement actions, including the revocation of First Providence Financial Group's broker-dealer registration for failure to pay a fine, and imposes fines on Drexel Aqua Technologies, The Seidler Companies, and Electronic Trading Group for various securities violations.
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