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
2016 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.


Bridgewater Communications Group LLC - August 3
The Exchange, LLC
Schur, Peter Adam

Cantone Research Inc. - October 20
Polakoff, Victor

Dang, Hai Khoa - November 29 - December 16

David Lerner Associates, Inc. - October 26

Dratel Group, Inc. (The) - September 19 - November 4

Entertainment Only, LLC - April 20 - August 29

Evans, John W. d/b/a Evans Technology Holding Company - September 22
Evans, Bonnie A.

Filomeno Wealth Management, LLC - January 11

Gray, Robert Lawrence - October 20

Halcyon Cabot Partners, Ltd. - February 16 - April 20

Harbor Vista Wealth Management LLC - April 22 - June 10 - July 27

Hershman, Peter David - August 19

Hunton Oil Partners LP - August 29
Giddings Oil and Gas LP
Asym Energy Fund III LP

Martinez-Ayme Financial - February 18
Group Incorporated
d/b/a Martinez-Ayme Securities

Meyers Associates, L.P. - December 5

Omniview Capital Advisors, LLC - August 17
Discala, Abraxas J.

Peter R. Mack & Co., Inc. - February 3
Mack, Peter Richard
  
Q 350 Ely LLC - January 26
Quinn, James P.
Youm, Gary

Quesnel, Dale Joseph Sr. - March 3

Rafal, John William - August 19

RBS Securities Inc. - September 30
RBS Securities Inc. (FX matter) - September 30

Rockingham Capital Advisors LLC - May 16
Frew, Scott Little

Seiler, Thomas E. - February 2

Silver Oak Securities, Incorporated - August 3

Steffany, Paul Anthony - May 13

Tatoian, John A. - April 8 

Trade-PMR Inc. - July 7

Tricarico, Robert Neil - April 22 - June 10 - July 27
RNT Wealth Management LLC - April 22 - June 10 - July 27

Tyrol, Lee - August 29
Tyrol Group, LLC
Native American Tyrol Energy, LLC


Other Years:
2018  |  2017  |  2015  |  2014  |  2013  |  2012  |  2011  |  2010

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