Bulletin # 2602 -  Week Ending January 3, 2014

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 Howard F. Pitkin, Banking Commissioner, at the Connecticut Department of Banking, 260 Constitution Plaza, Hartford, CT 06103-1800 or via E-mail. Written comments will be considered only if they are received within ten days from the date of this bulletin.

SECURITIES AND BUSINESS INVESTMENTS DIVISION ACTIVITY

Stipulation and Agreement Entered

On December 31, 2013, the Banking Commissioner entered into a Stipulation and Agreement (No. ST-13-8128-S) with Corre Opportunities Fund, L.P., an issuer of securities located in New York, New York.  The Stipulation and Agreement alleged that the company had been delinquent in making a Regulation D Rule 506 notice filing under Section 36b-21(e) of the Connecticut Uniform Securities Act with respect to a limited partnership interest offering commencing in September 2009.  After making the requisite filing, Corre Opportunities Fund, L.P. agreed to pay a $1,500 fine and to refrain from offering or selling securities in or from Connecticut absent compliance with Section 36b-16 of the Act.

Dated:  Tuesday, January 7, 2014

 

Howard F. Pitkin
Banking Commissioner