State of Connecticut Department of Banking

Martin Luther King, Jr. Corridor Designation - Request for Information The Department of Banking is seeking applications for the designation of "Martin Luther King, Jr. (MLK) Corridors" to promote secured and unsecured lending in the state with the intention of stimulating economic development within those corridors. More information may be found here. Apply via the DAS CTSouce Bid Board, type DOB-24084 in the search field.

Securities and Business Investments Division
2017 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.

Advanced Business Banking Solutions LLC - November 27

Benjamin F. Edwards & Company, Inc. - July 10

Cantone Research Inc. - August 28 
Polakoff, Victor

Cantor Fitzgerald & Co. - January 5

CE Capital Limited - December 1
Allen, Trevor M. Sr.
Connolly, Arthur
Rejda, Troy

Columbia Funds Series Trust - October 24
Columbia Funds Series Trust I

Gray, Robert Lawrence - July 13

Hershman, Peter D. - March 27

Meyers Associates, L.P. - May 15

Omniview Capital Advisors, LLC - February 17 - October 13
Omni View Capital LLC
Discala, Abraxas J.

Pettit, James Albert - May 15

Quesnel, Dale Joseph, Sr.
   Verified Complaint 
   Superior Court Order, 12/22/2017

Rafal, John William - January 26

RPM Capital Management, LLC - June 19
Newland, Michele Mary

Senior Financial Advisors, Inc. - December 15
Leavitt, William Thomas

Signal Lake General Partner LLC - June 27
Signal Lake Management, LLC
Signal Lake Side Fund, L.P.
Signal Lake Side Fund II, L.P.
Signal Lake Side Fund IIA, L.P.
Stuck, Barton W.

Sovereign State Depository Inc. - July 18
Reddy, Walter B. III

Swayze, Ashleigh Cooper - April 21

Threshie, John L. Jr. - September 22
Tirex Corporation (The)

Tyrol, Lee - November 3
Tyrol Group, LLC
Native American Tyrol Energy, LLC

Other Years:  2023  |  2022  |  2021  |  2020  |  2019  |  2018  |  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.