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
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:  2022  |  2021  |  2020  |  2019  |  2018  |  2016  |  2015  |  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.