Pastore & Dailey successfully obtained a favorable stipulation and agreement with the Connecticut Department of Banking on behalf of a large national registered broker-dealer. The Department of Banking conducted an investigation into the broker dealer and concluded that the broker-dealer has failed to file a timely U5, included misinformation on a U4, and failed to renew its registration for the calendar year. Following our successful representation, the broker dealer was able to amend its filings and receive a favorable stipulation and agreement with the Department of Banking.
Tags: Firm Victory, Joseph Pastore, Securities Regulatory, Security
Pastore represents founder of only Private Mountain Ski Club on the East Coast in Federal Court Settlement
Pastore Represents Alternative Investment Hedge Fund Founders