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STATE OF
OFFICE OF SECURITIES
121 STATE
HOUSE STATION
_____________________________________
)
IN THE MATTER OF:
)
)
The Huntington Investment Company ) CONSENT AGREEMENT
(CRD #16986)
) No. 05-056-CAG
_____________________________________)
This Agreement is entered into between the State of
WHEREAS, the parties agree as follows:
1.
At
all relevant times, it has been unlawful in
2.
3.
On
April 14, 2003,
4.
5.
On
May 22, 2003, the Office mailed
6.
7.
The
Office did not grant the firm’s request for withdrawal and made further inquiries
of
8.
It
is the Office of Securities’ position that
9.
10. Both parties desire an expeditious
resolution of this matter.
NOW, THEREFORE, without trial or adjudication of
any issue of fact or law, and without
1.
Huntington
will comply with all licensing and other legal requirements governing persons
acting as securities broker-dealers in the State of Maine at all times from the
date hereof;
2.
In
lieu of the Office of Securities seeking the imposition of a penalty for the allegations
contained herein, Huntington will pay the sum of $3,000 to the Office upon Huntington’s
execution of this Agreement; and
3.
The
Office of Securities will not take further action against
September
27, 2005
s/Robert J. Comfort, President
Date
Robert J. Comfort, President
The Huntington Investment Company
October
4, 2005
s/Michael J. Colleran
Date
Michael J. Colleran
Securities Administrator
Reviewed by:
October
3, 2005
s/Bonnie E. Russell
Date
Bonnie E. Russell
Assistant Securities Administrator
Presented by:
October
3, 2005
s/Cathy J. Williams
Date
Cathy J. Williams
Licensing Coordinator