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
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.