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To Her Excellency M. Jodi Rell, Governor - page 23 / 25

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23 / 25

Examinations Broker-dealers and Investment Advisers

Broker-dealers

137

Investment Advisers

54

2008

Enforcement Activities Securities and Business Opportunities

Investigations Opened Investigations Closed Investigations in Progress Subpoenas Issued Administrative Actions Consent Orders Stipulation and Agreements Notices of Intent to Deny (Licensing) Notices of Intent to Revoke (Licensing) Denial Orders (Licensing) Suspension Orders (Licensing) Revocation Orders (Licensing) Notices of Intent to Fine Orders Imposing Fine Cease and Desist Orders Activity Restrictions/Bars Monetary Sanctions Imposed Offered/Returned to Investors Following Informal Division Intervention Criminal Referrals Referrals to Connecticut Attorney General Other Agency Referrals

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    23 -

2007

94 15

147

141

105

119

132

109

47

40

17

21

13

20

6

9

0

2

0

2

0

2

0

1

1

2

8

11

7

7

16

22

6

7

$7,465,100

$5,458,090

$625,474

$4,884,200

7

4

1

1

2

10

2008

2007

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