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
2015 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.

Carolina Financial Securities, LLC - March 2

Citigroup Global Markets Inc. - October 8

Cooper Capital, Inc. - November 24
Cooper, Sara Katherine

Essex Financial Services, Inc. - November 23

First Connecticut Capital, LLC - May 5
Yurdin, Lawrence R.

Greenberg International Law & Tax Advisory - May 20 - July 23
Dunn, Robert - May 20 - July 23
Fox, Richard  - May 20 - July 23
James, Mike  - May 20 - July 23

Hershman, Peter D. - June 26

K.C. Ward Financial, LLC - February 26

Martinez-Ayme Financial - November 23
Group Incorporated
d/b/a Martinez-Ayme Securities

M.M. Dillon & Co. LLC - May 19

Meyers Associates, L.P. - February 13 - March 24
Meyers, Bruce

Mittler & Mercaldo Investment Advisors - January 5

Moniodes, Nicholas John - February 23

National Securities Corporation - December 29

Neilsen, James E. - March 31 - December 1
d/b/a Neilsen Financial Services

Pokorski, Rosemarie - February 26 - October 6

Poppin Kettle Franchising, Inc. - February 27
Gregoris, Chris T.
Yofresh Yogurts Franchising, Inc.

Quesnel, Dale Joseph, Sr. - June 22
Overtime Marketing, LLC -  - June 22 - September 16
Overtime Sports Southeast, LLC -  - June 22 - September 16
Overtime Sports Southwest, LLC -  - June 22 - September 16
Hansmire, Kenneth - June 22 - September 16
Floridel, LLC- June 22 - October 15

Rafal, John William - November 23

Rafferty Capital Markets, LLC - July 31

Rojo, Andres Dario - October 26
Acerbus, LLC
Red Advisors LLC
Domum Equity 1, Ltd
Domum Equity 2, Ltd

Settzo, Carolyn - October 16

Southridge Real Estate Partners, Limited Partnership - July 10 - November 23
Ridgebury Partners, LLC
Esposito, Douglas R.
Hicks, Stephen Murray

Young, Andre Paul - January 16

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