Conn. Gen. Stat. » Title 36b — · Chapter 672a — Uniform Securities Act
Connecticut General Statutes

Conn. Gen. Stat. § 36b-28 (2026)

(Formerly Sec. 36-497). Penalties

✓ current as of May 2026
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(a) Any person who wilfully violates any provision of subsection (a) of section 36b-4 or subsection (a) or (f) of section 36b-5 shall be fined not more than ten thousand dollars or imprisoned for not more than ten years, or both.

(b) Any person who wilfully violates any other provision of sections 36b-2 to 36b-34, inclusive, shall be fined not more than three thousand five hundred dollars or imprisoned for not more than two years, or both.

(c) No information may be returned under sections 36b-2 to 36b-34, inclusive, more than five years after the alleged violation.

(P.A. 77-482, S. 29; P.A. 96-192, S. 7; P.A. 10-141, S. 23; P.A. 13-258, S. 16.)

History: Sec. 36-497 transferred to Sec. 36b-28 in 1995; P.A. 96-192 amended Subsec. (a) to substitute “subsection (a) of section 36b-4 or subsection (a) or (f) of section 36b-5” for “section 36b-4 or 36b-5”; P.A. 10-141 amended Subsecs. (b) and (c) by replacing references to Sec. 36b-33 with references to Sec. 36b-34, effective June 7, 2010; P.A. 13-258 amended Subsec. (a) to make a technical change and amended Subsec. (b) to change maximum fine from $2,000 to $3,500.

Annotation to former section 36-497:

Cited. 178 C. 145.

Annotation to present section:

Cited. 233 C. 304.

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Notes of Decisions
Cited in 1 case, 2001–2001 · leading case: State v. Andresen, 773 A.2d 328 (Conn. 2001).
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State v. Andresen, 773 A.2d 328 (Conn. 2001). · cites it 5× “As noted previously, the criminal provisions of CUSA; General Statutes § 36b-28; prohibit “wilful” violations thereof.”
Annotations are extracted automatically from the opinions in the Syfert caselaw corpus and ranked by authority, recency, and treatment. Dots show Syfertize treatment of the citing case itself.