State of Connecticut Department of Banking

Small-owned Businesses: Join us for a “Meet the Bankers” event on Wednesday, May 8th at 5:30 p.m. at CT Community College Housatonic in Bridgeport. Click here for more information. Pequeñas empresas: Participe con nosotros en el evento “Conozca a los Banqueros” el miércoles 8 de mayo a las 5:30 p.m. en CT Community College Housatonic en Bridgeport. Presione aquí para más información.

The Department of Banking News Bulletin 

Bulletin # 3047 - Week Ending July 15, 2022

This bulletin constitutes the only official notification you will receive from this office concerning any of the following applications.  Any observations you may have are solicited.  Any comments should be in writing to Jorge L. Perez, Banking Commissioner, Department of Banking, 260 Constitution Plaza, Hartford, CT 06103-1800.  Written comments will be considered only if they are received within ten business days from the date of this bulletin.

 
SECURITIES AND BUSINESS INVESTMENTS DIVISION ACTIVITY

Perkins Fund Marketing, L.L.C. (CRD No. 45642)

On July 13, 2022, the Banking Commissioner entered a Consent Order (No. CO-22-20226-S) with respect to Perkins Fund Marketing, L.L.C., a Connecticut-registered broker-dealer located at 1001 N US Highway 1, Suite 204, Jupiter, Florida 33477. The Consent Order alleged that the firm violated Section 36b-31-6f of the Regulations under the Connecticut Uniform Securities Act by failing to maintain adequate supervisory policies and procedures relating to the supervision of outside business activities and private securities transactions by its personnel. The Consent Order fined the firm $10,000 and directed it to refrain from violative conduct.

      Dated:  Tuesday, July 19, 2022

      Jorge L. Perez
      Banking Commissioner