State of Connecticut Department of Banking

To protect the health and safety of the public and our employees, the Department of Banking has limited the number of employees at our office at 260 Constitution Plaza in Hartford. When contacting the Department, please use electronic communication whenever possible. Consumers are encouraged to use our online form for complaints. If you are unsure where to send an inquiry, you may send it to Department.Banking@ct.gov and it will be routed appropriately. Thank you for your patience during this time.

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IN THE MATTER OF:

HARBOR VISTA WEALTH
MANAGEMENT LLC

IARD No. 174937





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CERTIFICATION

DOCKET NO. NDCD-16-8295-S


The undersigned hereby certifies, on behalf of the Banking Commissioner (“Commissioner”), that:

1. On April 22, 2016, the Commissioner issued a Notice of Intent to Deny Registration as an Investment Adviser, Order Denying Withdrawal of Registration as an Investment Adviser, Order to Cease and Desist, Notice of Intent to Fine and Notice of Right to Hearing (collectively “Notice”) against Harbor Vista Wealth Management LLC (“Respondent”), a copy of the Notice is attached hereto and incorporated by reference herein;
 
2. The Order to Cease and Desist provided that it would remain in effect and become permanent against Respondent if a hearing was not requested within 14 days of its receipt;
 
3. On April 22, 2016, the Notice was sent by certified mail, return receipt requested, to Respondent;
  
4. On April 26, 2016, Respondent received the Notice;
   
5. Respondent has failed to request a hearing on the allegations set forth in the Order to Cease and Desist within 14 days of its receipt; and
  
6. On May 11, 2016, the Order to Cease and Desist issued against Respondent became permanent.
     

Dated at Hartford, Connecticut,    JORGE L. PEREZ
this 10th day of June 2016.    BANKING COMMISSIONER    
    
By: ____/s/_________________ 
  Paul A. Bobruff
  Principal Attorney 

 

Administrative Orders and Settlements