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AMENDMENT TO ORDER TO MAKE RESTITUTION AND NOTICE OF RIGHT TO HEARING DOCKET NO. CRF-13-8014-S |
AMENDMENT
1. | On January 9, 2014, the Banking Commissioner, acting pursuant to Chapter 672a of the General Statues of Connecticut and Section 36b-27 of the Connecticut Uniform Securities Act, issued an Order to Cease and Desist, Order to Make Restitution, Notice of Intent to Fine and Notice of Right to Hearing (collectively “Order”). | |||
2. | Paragraph 11 of the Order is amended as follows:
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Dated at Hartford, Connecticut, | _______/s/__________ | |
this 18th day of February 2014. | Howard F. Pitkin | |
Banking Commissioner |
CERTIFICATION
I hereby certify that on this 18th day of February 2014, the foregoing Amendment to Order to Cease and Desist, Order to Make Restitution, Notice of Intent to Fine and Notice of Right to Hearing was sent by certified mail, return receipt requested, to Ulysses Partners, LLC, c/o Brian Woolf, Esq., Woolf Law Firm, LLC, 50 Founders Plaza, East Hartford, Connecticut 06108, certified mail no. 7012 3050 0002 1692 6446; and James E. Neilsen, c/o Brian Woolf, Esq., Woolf Law Firm, LLC, 50 Founders Plaza, East Hartford, Connecticut 06108, certified mail no. 7012 3050 0002 1692 6453.
____/s/___________ |
Elena Zweifler |
Prosecuting Attorney |
cc: | Stacey Serrano, Esq. | |
Hearing Officer |