In accordance with Governor Lamont's emergency declaration, employees and the public are asked to observe social distancing measures to ensure communal safety and to slow the spread of the novel coronavirus (COVID-19). People are asked to work from home and telecommute wherever possible. Adhering to these instructions, the Department of Banking has closed its offices to the public. However, agency staff will continue to provide services to consumers and industry through telework. When contacting the Department, please use electronic communication whenever possible. Agency staff will continue to check voicemails during this time. 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:

CARLOS M. GARCIA, III

CRD NO. 1961096

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CERTIFICATION

DOCKET NO. CF-2009-7333-S

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

1. On July 23, 2009, the Commissioner issued an Amended and Restated Order to Cease and Desist (“Amended Order”), Amended and Restated Notice of Intent to Fine and Notice of Right to Hearing (collectively “Amended Notice”) against Carlos M. Garcia, III (“Respondent”), a copy of the Amended Notice is attached hereto and incorporated by reference herein;
2. The Amended Order 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 July 24, 2009, the Amended Notice was sent by registered mail, return receipt requested, to Respondent;
4. On July 28, 2009, Respondent received the Amended Notice;
5. Respondent has failed to request a hearing on the matters set forth in the Amended Order within 14 days of its receipt; and
6. On August 12, 2009, the Amended Order issued against Respondent became permanent.

                                                     
                                                     HOWARD F. PITKIN
                                                     BANKING COMMISSIONER

Dated at Hartford, Connecticut,
this 18th day of August 2009.         By: ________/s/_________
                                                      Paul A. Bobruff
                                                      Principal Attorney


Administrative Orders and Settlements