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
2020 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.


ARO Equity, LLC - January 9 - April 17 - May 14
Renison, Thomas David - January 9
Renison, Thomas James - January 9

Bankers Life and Casualty Company - April 29

Boomerang Capital, LLC - September 17
  
Booth, James Thomas - February 14 - April 2- June 18
Insurance Trends, Inc. - February 14 - April 2- June 18

ERG Securities (US) LLC - May 21

Great Heritage Investments, LLC - April 27
Messier, George Henry  
 
Hafen, Herbert H. a/k/a Hafen, Elias - February 11 - July 8 - August 17    
  
Hoyos-Farfan, Monica -
June 24 
 
Johnson, Glenn Bradford - May 29
Savona, Annmarie Lucy
Jabez Financial, LLC  
  
Lawrence Insurance - 5, LLC - August 21
Grochmal, Joseph Lawrence, Jr.
  
Lynch, John J. - August 6  
 
Merrill Lynch, Pierce, Fenner & Smith Incorporated -
June 23 
 
Monitor Capital, LLC - July 20 
 
Native American Energy Group, Inc. - January 28 - February 26 - March 13
D'Arrigo, Joseph Gatano - January 28 - June 3 - June 4
Nanvaan, Raj S. f/k/a Tejbir Singh - January 28 - February 26 - March 13
Bautista, J.R. Jr. - January 28 - September 10
   
North American Drilling Corporation - February 7
Brown Well 1 Joint Venture
Brown Well 1A Joint Venture
Brazelton Well 2A Joint Venture
Koonce, Larry Michael
  
NYPPEX, LLC - February 21
Allen, Laurence Geoffrey

P-Square Investments LLC - May 29
d/b/a P-Squared Capital Management 
   
Schupp & Grochmal, LLC - August 21
SG Insurance Investment Fund, LLC
SG Insurance & Technology Investment Fund, LLC
Schupp, David Alexander
 
Solace Investments, LLC - June 25 - September 2 - September 4
Muzzi, Rafael Alves 
- June 25 - September 2 - September 4

   
Solium Financial Services LLC - February 21

TPEG Securities, LLC - June 8

Verespy, Erin Lynn - June 25
   
Westphalen, Adam - July 27
Mosaic Financial Strategies LLC
  
Wilmington Capital Securities, LLC - August 25


Other Years:
2019   |   2018  |   2017  |  2016  |  2015  |  2014  |  2013  |  2012  |  2011  |  2010 

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