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WESTROCK ADVISORS, INC. * * * * * * * * * * * * * * * * * |
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The undersigned hereby certifies, on behalf of the Banking Commissioner (“Commissioner”), that:
| 1. | On December 8, 2010, the Commissioner issued an Order to Cease and Desist (“Order”), Notice of Intent to Revoke Registration as Broker-dealer, Notice of Intent to Fine and Notice of Right to Hearing (collectively “Notice”) against Westrock Advisors, Inc. (“Respondent”), a copy of the Notice is attached hereto and incorporated by reference herein; |
| 2. | The Order provided that it would remain in effect and become permanent against Respondent if a hearing was not requested within 14 days of its receipt; |
| 3. | On December 9, 2010, the Notice was sent by certified mail, return receipt requested, to Respondent; |
| 4. | On December 21, 2010, the Notice was returned to the Department of Banking marked “Returned To Sender – Moved, Left No Address”; |
| 5. | On December 21, 2010, the Notice was served on the Commissioner, and on December 22, 2010, in accordance with 36b-33(g) of the General Statutes of Connecticut, as amended by Public Act 10-141, Notice of Service on the Banking Commissioner In the Matter of: Westrock Advisors, Inc., dated December 22, 2010 (“Notice of Service”), was sent by registered mail, return receipt requested, to Respondent; |
| 6. | Respondent has failed to request a hearing on the matters set forth in the Order within 14 days of the date of the Notice of Service; and |
| 7. | On January 6, 2011, the Order issued against Respondent became permanent. |
| Dated at Hartford, Connecticut, | HOWARD F. PITKIN | |
| this 10th day of January 2011. | BANKING COMMISSIONER | |
| By: | _______/s/________________ | |
| Paul A. Bobruff | ||
| Principal Attorney |