DOB: Tricarico, Robert - Cert

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IN THE MATTER OF:

ROBERT NEIL TRICARICO

CRD No. 1500863








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CERTIFICATION

DOCKET NO. NDCDRF-16-8200-S



The undersigned hereby certifies, on behalf of the Banking Commissioner (“Commissioner”), that:

1. On April 22, 2016, the Commissioner issued a Notice of Intent to Deny Registration as an Investment Adviser Agent, Order to Cease and Desist, Order to Make Restitution, Notice of Intent to Fine and Notice of Right to Hearing (collectively “Notice”) against Robert Neil Tricarico CRD No. 1500863 (“Respondent”), a copy of the Notice is attached hereto and incorporated by reference herein;
 
2. The Order to Cease and Desist and Order to Make Restitution provided that they would remain in effect and become permanent against Respondent if a hearing was not requested within 14 days of their receipt;
 
3. On April 22, 2016, the Notice was sent by certified mail, return receipt requested, to Respondent;
  
4. On May 20, 2016, the Notice was returned to the Department of Banking marked “Return to Sender – Refused – Unable to Forward”;
   
5. On May 10, 2016, the Notice was served on the Commissioner, and on May 11, 2016, in accordance with Section 36b-33(g) of the General Statutes of Connecticut, Notice of Service on the Banking Commissioner In the Matter of:  Robert Neil Tricarico CRD No. 1500863 dated May 11 , 2016 (“Notice of Service”), was sent by certified mail, return receipt requested, to Respondent;
  
6. Respondent has failed to request a hearing on the allegations set forth in the Order to Cease and Desist and Order to Make Restitution within 14 days of the date of the Notice of Service; and
 
7.  On May 26, 2016, the Order to Cease and Desist and Order to Make Restitution issued against Respondent became permanent.   

Dated at Hartford, Connecticut,    JORGE L. PEREZ
this 10th day of June 2016.    BANKING COMMISSIONER    
   
    
  By: ____/s/_________________ 
    Paul A. Bobruff
    Principal Attorney 

 


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