Regulatory Alerts2005-12-31
Added · Updated
Winter 2005 Securities Bulletin
The Connecticut Department of Banking extends its no-enforcement action determination for persons displaced by Hurricanes Katrina and Rita until June 30, 2006, waiving registration requirements for financial professionals serving pre-existing customers temporarily in the state under specific conditions. The bulletin also details administrative settlements, including $100,000 fines against Geek Securities, Inc. and its president Kautilya Sharma for failing to disclose criminal convictions, and a $301,763 fine against Deutsche Bank Securities, Inc. for compromising analyst independence. Additionally, the document records enforcement actions against PIPS Incorporated for offering unregistered securities and Bayou Securities, LLC for revocation proceedings, while providing quarterly statistical summaries of licensing, examinations, and enforcement activities.
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