On October 31, 2011, pursuant to Section 36a-184 of the Connecticut General Statutes, ING Investment Management Co. LLC, a Delaware limited liability company in formation, filed an acquisition statement for the indirect acquisition of 100% of the issued and outstanding shares of common stock of ING Investment Trust Co., a Connecticut-chartered trust bank, headquartered in Windsor, Connecticut, through the merger of its parent, ING Investment Management Co., with and into ING Investment Management Co. LLC. 

Date	Check Casher	Location	Activity
11/3/11	Une Travel LLC	68 Connecticut Avenue Norwalk, CT  06850	filed

On October 12, 2011, the Commissioner issued a Notice of Automatic Suspension, Temporary Order to Cease and Desist, Notice of Intent to Revoke Mortgage Lender License, Notice of Intent to Issue Order to Cease and Desist and Notice of Right to Hearing (“Notice”) in the Matter of:  East Coast Mortgage Corp. d/b/a Green Brook Mortgage (“Respondent”), Springfield, New Jersey.  The Notice alleges that Respondent failed to maintain a surety bond that runs concurrent with its license for 100 Morris Avenue, Suite 300, Springfield, New Jersey, in violation of Section 36a-492 of the Connecticut General Statutes, as amended by Public Act 11-216.  The Commissioner also found that public welfare required the issuance of Temporary Order to Cease and Desist.  Respondent was afforded an opportunity to request a hearing with regard to the allegation set forth in the Notice.

On October 12, 2011, the Commissioner issued a Notice of Automatic Suspension, Temporary Order to Cease and Desist, Notice of Intent to Revoke Mortgage Correspondent Lender License, Notice of Intent to Issue Order to Cease and Desist and Notice of Right to Hearing (“Notice”) in the Matter of:  United Capital Lenders LLC (“Respondent”), Southampton, Pennsylvania.  The Notice alleges that Respondent failed to maintain a surety bond that runs concurrent with its license for 1310 Industrial Boulevard, Suite 202, Southampton, Pennsylvania, in violation of Section 36a-492 of the Connecticut General Statutes, as amended by Public Act 11-216.  The Commissioner also found that public welfare required the issuance of Temporary Order to Cease and Desist.  Respondent was afforded an opportunity to request a hearing with regard to the allegation set forth in the Notice.

The Department of Banking, in cooperation with Sacred Heart University, is hosting a free Compliance Workshop for Investment Advisers.  The event will take place on Friday, December 9, 2011 from 9 a.m. to 12 p.m. at the University's Schine Auditorium in Fairfield, Connecticut.  The workshop will target investment advisers switching from SEC registration to state registration following passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  Other compliance issues will also be discussed.

You may register online http://www.ct.gov/dob/ical/eventDetail_page.asp?event_id=19790 or at the door.  Please see the event flyer online for directions and details.

Do you have a question or two you would like us to address at the workshop?  Submit it by clicking on this link:  http://www.surveymonkey.com/s/5FNSNJT.  You can respond as many times as you’d like – and anonymous questions are perfectly acceptable.  We will pick the best questions and answer them during the course of the program.