The allegations read: On january 31, 2024, the banking commissioner entered a consent order (no. Co-24- 20233-s) with respect to andrew m. Komarow of 75 juniper drive, avon, connecticut 06001. Respondent had been registered as a broker-dealer agent and investment adviser agent during the preceding years. The consent order noted that respondent had been discharged from prior firms for attempting to put through ach transactions when there were insufficient funds on hand; that finra had issued a bar against komarow; and that, on december 8, 2023, the securities and exchange commission had filed suit against komarow alleging that he engaged in improper freeriding schemes. the consent did acknowledge that none of respondent's firm clients were harmed by the activity and that no client complaints had been received by the department. However, the consent order stated that respondent violated section 36b-4 of the connecticut uniform securities act.
