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
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

Chatsworth Securities, LLC - January 27

CV Brokerage, Inc. - May 27 - July 1

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

Mountain Vista Wealth Management, LLC - August 13

Renison, Thomas David - January 15

Renison, Thomas James - March 25

Salusbury, Frederic H. - March 10

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

Volumetric Fund, Inc. - January 19  


Other Years:
2020  |   2019   |   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.