NOTICE: 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 and it will be routed appropriately. Thank you for your patience during this time.

Administrative Orders and Settlements

Please note: When viewing administrative orders posted on the Internet, please recognize that some orders may involve allegations that may be contested in a hearing and that are not yet resolved.  Such administrative proceedings may, in the end, be resolved in favor of the firm or individual or they may be concluded through a negotiated settlement with no admission of wrongdoing.  The documents posted on this website are not official copies.  If an official copy is needed, please contact the agency.  For more information on a particular order or settlement, you may contact the department via email or by calling (860) 240-8170.  

Read more about the department's enforcement of laws under its jurisdiction. 

Recent Administrative Orders and Settlements:

Paycor, Inc. - March 19

NYPPEX, LLC - February 21
Allen, Laurence Geoffrey
Solium Financial Services LLC - February 21
Booth, James Thomas - February 14
Insurance Trends, Inc.
Hafen, Herbert H. a/k/a Hafen, Elias - February 11

Midwest Recovery Systems, LLC - February 7
Hampton II, Adolphus - January 28
Financial Instrument Recovery

Native American Energy Group, Inc. - January 28 - February 26 - March 13
D'Arrigo, Joseph Gatano - January 28
Nanvaan, Raj S. f/k/a Tejbir Singh - January 28 - February 26 - March 13
Bautista, J.R. Jr. - January 28

LeadPoint, Inc. - January 23
d/b/a Secure Rights

ARO Equity, LLC - January 9
Renison, Thomas David
Renison, Thomas James

Bay-Valley Mortgage Group - January 8
d/b/a Bay-Valley Mortgage Group, Inc.
d/b/a Pacific Bay Lending Group
d/b/a Valley View Home Loans

Smart Marketing Corp. - January 6
Smart Family Group LLC
Mejia, Rency

Lists of agency actions and settlements
  • Consumer Credit - check cashers, collection agencies, debt adjusters, debt negotiators, mortgage lenders and loan brokers, money transmitters, mortgage originators, sales finance companies and small loan lenders
  • Financial Institutions - banks, bank officers and directors, credit unions
  • Securities and Business Investments - agents of issuer, broker-dealers, broker-dealer agents, business opportunities, investment advisers, investment adviser agents, issuers, other respondents