To protect the health and safety of the public and our employees, the Department of Banking has limited the number of employees at our office at 260 Constitution Plaza in Hartford. When contacting the Department, please use electronic communication whenever possible. 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
2013 Administrative Orders and Settlements 

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.


Accelerated Mentoring LLC - March 18 - July 1 - July 16  
   f/k/a Internet Sales Institute LLC
Jensen, Josh - March 18 - July 1 - July 16
Yohman, Clancey Braxton - March 18 - July 1 - July 16

Baldwin, Howard Sr. - September 24

Beauchamp, Alfred R. - February 20
Connecticut Foreclosure Division Corp.

Borgo, Christopher - February 19 - March 19

Calash, John - February 19 - March 19 - April 25 - September 12

Calash, Susan - February 19 - March 19 - April 25 - September 12

Christoforou, Christos - January 9 - January 10

Corre Opportunities Fund, LP - December 31

DFS Capital Management, LP - May 1 - July 25
DFS Fund, Limited Partnership
Greco, John Vincent

Euro Group of Companies, Inc. - October 23

Field, A. Searle - September 19
Hollywood Next Holdings LLC

First Financial LLC - January 3 - May 13
Sharif, Feisal

Franco, Wayne P. M.D. - September 25
New Heart LLC
Progenesis LLC
Oz III, LLC

Fundraising Co-Op, Inc. - July 25 - December 13
Buyer Topia, Inc.
Burkholder, Nicholas C.
Graham, Duncan H.
Weber, John

Goodrich, Stephen - July 23 - August 22  - September 3 
  a/k/a Stephen W. Goodrich
  a/k/a Stephen Western Goodrich
  d/b/a Goodrich Financial

Healey, Michael P. - May 30
Healey Ford of Ansonia, Inc.
Eurospeed USA, Inc.
American Motor Sports, LLC

Imbruce, Gregory Richard - December 17
Hunton Oil Partners LP
Hunton Oil Genpar LLC
Giddings Oil & Gas LP
Giddings Genpar LLC
Asym Energy Fund III LP
Asym Capital III LLC

J. Capital Advisors, LLC - March 18 - October 21
d/b/a J. Capital Advisors Wealth Management
Johnson, Aaron Jousan

Marvin, Ronald - July 29
RMV Holding Company, LLC
RMV Investments, LLC
Maxcomusa Group Inc. - January 9 - January 10

Meissenn, Christian - September 16 - December 3
   a/k/a Christian Nigohossian
   a/k/a Christian Mason
   a/k/a Christopher Mason
   a/k/a Christian Levon Nigohossian

Abensur, Gabriel - September 16 - October 28November 13
Morgan, John - September 16 - October 28 - November 13
Speed of Thought Trading Corporation - September 16  - October 28 - November 15
Rescon Technology Corporation - September 16 - October 28 - November 13
Northeast Development Corporation - September 16 - October 28 - November 13
The African Diamond Company, Inc. - September 16 - October 28 - November 13
   n/k/a Coal Corporation
Hybrid Automotive Technologies, Inc. - September 16 - October 28 - November 13
Ironclad Investments, LLC - September 16 - October 28 - November 13
Delgado, Damian Seth - September 16 - December 4 - December 4
Method Films, Inc. - March 11 - May 13 - May 16
Greene, Matthew Bennett - March 11 - May 13 - May 16
Stilas Financial Services, S.A. - March 11 - May 13 - May 16
Thelemaque, Thierry - March 11 - May 13 - May 16

Miller, David - July 8 - September 6

Mohr & Moore, LLC - March 18 - May 14 - May 16
Moore, William Elmer - March 18 - May 14 - May 16

Obsidian Financial Group, LLC - January 11

Ocean Cross Capital Markets LLC - July 8

PowerWater Systems, Inc. - January 11 - October 21
Cleworth, Duncan
PowerWater USA Ltd.

ProEquities, Inc. - June 3

Rochdale Securities LLC - August 12

Stead-Fast Custom Linings, LLC - February 19 - March 19

Steadfast Holdings Group, Inc. - January 17 - January 18
f/k/a Beere Financial Group, Inc.

Terra Energy Resources, Ltd. - July 12 - August 5 - August 13
Meissenn, Christian - July 12
   a/k/a Christian Nigohossian 
Vassallo, Anthony Charles - July 12 - August 5 - August 13
Terra Energy, LLC - July 12 - August 28  - September 3

UBS Financial Services Inc. - October 15

Vista Investment Advisors LLC - March 26


Other Years:  2022  |  2021  |  2020  |  2019  |   2018  |  2017  |  2016  |  2015  |  2014

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