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
2021 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.


Abbington Investment Group, LLC - August 9

AE Wealth Management, LLC - March 18

Bonnanzio, Richard Louis - September 20
NorthOne Capital Partners, LLC

Chatsworth Securities, LLC - January 27

Commonwealth Equity Services, LLC
d/b/a Commonwealth Financial Network - September 17

CV Brokerage, Inc. - May 27 - July 1

Davinci Capital Management, Inc. - October 12

Endeavor Global Partners Corp. - November 17
Endeavor Global Partners (HK) Ltd.
Fresne, David Manning

Jax Acquisitions II LLC - April 9 - June 30 - July 6

KJM Securities, Inc. - December 23

Lifestyle Freedom Advisory Group, LLC - December 22

LPL Financial LLC - December 3

Monomoy Capital Management, L.P.  - October 7

Mountain Vista Wealth Management, LLC - August 13

Paiva, Fernando Manuel - September 27

Renison, Thomas David - January 15

Renison, Thomas James - March 25

Salusbury, Frederic H. - March 10

Smith, Travis - March 26 - April 21 - April 22

Stone Beach Investment Management, LLC - December 2

Volumetric Fund, Inc. - January 19  


Other Years:  2020  |  2019  |  2018  |  2017  |  2016  |  2015  |  2014  |  2013  |  2012

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