November 6, 2007
Investment advisors fined for illegal activity
The state Department of Banking today announced the imposition of three fines amounting to $75,000 for violations of state securities laws and regulations. The fines were imposed against the following: Kenneth Von Kohorn, an investment advisor in Westport; Greenwich-based Argyle Capital; and its sole member, Quintin Geoffrey Marshall of Stamford. The commission claimed that Von Kohorn was transacting business as an unregistered investment advisor and that Argyle sold unregistered securities.
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