State of Connecticut Department of Banking

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
2014 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.

Byl, Michael James - July 3 - December 3

Columbus Advisory Group, Ltd. - November 26

Euro Group of Companies, Inc. - February 10 - March 20
Koutsobinas, Vasilios - February 10 - April 25

HFP Capital Markets LLC - December 11

Imbruce, Gregory Richard - June 10 - August 26
Hunton Oil Partners LP - June 10
Hunton Oil Genpar LLC - June 10 - August 26
Giddings Oil & Gas LP - June 10
Giddings Genpar LLC - June 10 - August 26
Asym Energy Fund III LP - June 10
Asym Capital III LLC - June 10 - August 26

J.P. Morgan Securities LLC - June 25

Meyers Associates, L.P. - February 10
Meyers, Bruce

Moniodes, Nicholas John - July 9

Morgan Stanley Smith Barney LLC - June 9

Opportunity Income Plus, LP - March 18

Orion Capital LLC - May 8 - November 7
Gibson, Herman Wayne

Papic, Eddie - March 27
   Settlement Agreement and Release

Poppin Kettle Franchising, Inc. - June 12
Gregoris, Chris T.
Yofresh Yogurts Franchising, Inc.

Prussin, George Jay - July 25

Ramos, Edmund J. - September 30
The Right Mortgage Co., Inc.

Salt Wall Trading, Inc. - February 28
Fraser, Drew R.

Syndicated Capital, Inc. - July 14

Ulysses Partners, LLC - January 9 - February 18 - November 13
Neilsen, James E.

Vanderbilt Securities, LLC - October 8

Young, Andre Paul - November 26

Other Years:  2022  |  2021  |  2020  |  2019  |   2018  |  2017  |  2016  |  2015  |  2013

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