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
2019 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.


A&M Capital Advisors, LP - September 12

Andrews-McKay, Vaughn Lee - March 25

Aquila Municipal Trust - January 25

Archview Investment Group LP - September 5

Bermingham, Reed Francis - October 10 - October 31 - December 12
d/b/a Bermingham Wealth Strategies

Bridgeways, Inc. f/k/a Xandros, Inc. - September 5

ETFConcepts, LLC - November 14

Fastsigns International, Inc. - August 5

First Allied Securities, Inc. - January 2
First Allied Advisory Services, Inc.

Giorgio, Ralph Steven - May 3

Great Heritage Investments, LLC - December 19
Messier, George Henry

Horter Investment Management, LLC - December 18

Houge, David E. - July 8

JC Franchising Group LLC - September 19

North American Drilling Corporation - March 27
Brown Well 1 Joint Venture
Brown Well 1A Joint Venture
Brazelton Well 2A Joint Venture
Koonce, Larry Michael

Prophet, Andrew Seafus - September 11
Prophet Financial Planning, LLC

Quarve Associates, LLC - January 11

Reens, Daniel - October 22

Safe Harbour LLC - September 27
Brinkman, Robert William

Silver Pine Capital, LLC - February 15

Soma Equity Partners, LP - March 20

TAM Capital Management Inc. - August 6

Titan Advisors, LLC - April 25

Vintage Foods Ltd. - April 24

Vir-Sec, Inc. - January 17
Murphy, Christopher 

Voya Financial Advisors, Inc. - March 11

Welsh, James - June 25 - October 16
GHC Fund One LLC a/k/a Gilbert Hill Fund I, LLC - June 25 - October 16  - October 23

Westphalen, Adam - March 11 - May 10 - April 27, 2020
Mosaic Financial Strategies LLC 


Other Years:  2018  |   2017  |  2016  |  2015  |  2014  |  2013  |  2012  |  2011

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