State of Connecticut Department of Banking

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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