State of Connecticut Department of Banking

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
2022 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.

Aldwych Securities LLC  - August 8

BlockFi Lending LLC - March 25

Clipper Capital Group LLC - August 3
T&T Capital Partners LLC
Tavares, Steven Alan

Endeavor Global Partners Corp. - September 21
Endeavor Global Partners (HK) Ltd.
Fresne, David Manning

Extreme Marketing Alliance LLC - January 20
Graham, Matt
Diaz, Orlando

Fedorko, Joseph Michael Jr. - May 17

Fortis Group Advisors, LLC - June 30

Heron Bay Capital, LLC - December 7

Hop Knot Franchising Corp. (The) - April 1 - December 20
Boney, Michael T.

Hudson Bay Capital Management LP - October 24

J.A.G. Capital, LLC - February 18
Bozzi, Joseph Richard

KJM Securities, Inc. - May 16

Klein, Samuel - June 20 - September 16 - December 27
KF Pecksland, LLC - June 20 - September 16 - December 27
Visual Group, LLC - June 20 - September 16 - December 27

Macedo, Ruben Anibal - January 27 - April 13 - April 22

NYPPEX, LLC - December 7
Allen, Laurence Geoffrey

Olive Tree Ridge Investment Advisors LLC - September 21

Perkins Fund Marketing, L.L.C. - July 13

Pettit, James Albert - September 7

Pusser's Holdings Investment LLC - January 5 - July 20
Harbor Cap Partners LLC
Jamieson, Stuart

Reilly, Michael M. - June 23
Quantum Capital Investments, LLC

Sage Financial Design, Inc. - May 9
Thompson, Robert Sheldon

Summit Investment Management, LLC - December 23

Verespy, Erin Lynn - May 2

Westphalen, Adam
  Civil Complaint 
  Motion for Summary Judgment
  Ruling-Summary Judgment Motion
  Restitution Order

Other Years:  2022  |  2021  |  2020  |  2019  |  2018  |  2017  |  2016  |  2015  |  2014  |  2013

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