NOTICE: In accordance with Governor Lamont's emergency declaration, employees and the public are asked to observe social distancing measures to ensure communal safety and to slow the spread of the novel coronavirus (COVID-19). People are asked to work from home and telecommute wherever possible. Adhering to these instructions, the Department of Banking has closed its offices to the public. However, agency staff will continue to provide services to consumers and industry through telework. When contacting the Department, please use electronic communication whenever possible. Agency staff will continue to check voicemails during this time. Consumers are encouraged to use our online form for complaints. If you are unsure where to send an inquiry, you may send it to Department.Banking@ct.gov and it will be routed appropriately. Thank you for your patience during this time.

Securities and Business Investments Division
2008 Administrative Orders and Settlements

Enforcement Home Page

For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170. 

Important Note: Securities Conditional Registrations are not listed on this page. For information on conditional registrations, please visit the department’s Verify a License page.



4 L.I.F.E., Inc.  -  October 10
Terry Mayfield
Axiom International Investors LLC - February 19

Baffa, Brett Anthony - February 22

Basic Investors Inc. - September 22

Bayou Technologies, Inc.  -  April 3
Steven O. Canady
Blue Coast Financial Group, Inc.  -  May 5
a/k/a Questar Financial Group

Blue Coast Financial Group, Inc. - November 5
Hull, Lindsay
Hull, Shawn

Brennan, Kevin Patrick - March 24

Cohan, Jeffrey Alan - June 3

Digi-Pin, LLC f/k/a Digipin LLC - September 12

Divel, George Lemuel, III - August 5

Ecosol Solar Technologies Inc. - May 8

Excel Securities & Associates, Inc. - July 22
Grove, Kenneth Henry  -  March 18  -  April 9
Hinkley, Jesse John - December 1

Java's Brewin Development, Inc.  -  May 30  -  June 23  -  October 8
Key Resource Group, LLC  -  January 31  -  September 29
Lucas, Dale C.  -  January 31  -  September 29
Kilgariff, Russell  -  January 31  -  September 29
McNaul, Michael J.  -  January 31  -  September 29
Duboise, Mark T.  -  January 22  -  September 29
Bay, Mike  -  January 31  -  September 29
Phillips, George  -  January 31  -  September 29
Hunter, Greg  -  January 22  -  September 29
Folkinga, Ronald  -  January 31  -  September 29
Deaton, Mark  -  January 31  -  September 29
Konior, Jason John  -  January 28  -  July 11
Liberatore, Louis John, Sr.  -  February 20
Maiure, Michael James  -  February 6  -  February 27  -  August 28
Managers Distributors, Inc.  -  August 11
Peter Michael Lebovitz
Thomas Grant Hoffman
Markland Technologies, Inc.  -  August 15  -  October 6  -  December 2
Chad A. Verdi  -  August 15
Morton, Steven G.   -  January 30
Oxford Micro Devices, Inc.
Multivend, LLC d/b/a Vendstar  -  August 15
New Castle Financial Services LLC - August 18

One Key LLC - May 27

Puccerella, Albert Robert  III  -  January 29
a/k/a John Higgins
Reilly, Michael M.  -  June 27

Source Capital Group, Inc. - April 28

Southridge Capital Management LLC v. Pitkin - August 18
Memorandum of Decision and Judgment
(PDF file; file size 1.05 MB)
Notice of Appeal - September 8(PDF file; file size 1 MB)

Spoor, T. Richard - May 9

Traptek, LLC (n/k/a Cocona, Inc.) - March 25
Vision Travel, Inc.  -  August 15  -  October 6  -  November 5
a/k/a Global Vision Travel
Westrock Advisors, Inc. - September 4

Wyllins, Raymond d/b/a  -  August 25  -  November 13
Finishmasters Refinishing

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