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:

Soma Equity Partners, LP - March 20
Voya Financial Advisors, Inc. - March 11

Westphalen, Adam - March 11
Mosaic Financial Strategies LLC

Recovery Solutions Group, LLC - March 6

Account Discovery Systems, LLC - February 21
Payment Management Services USA, LLC

Silver Pine Capital, LLC - February 15

Aquila Municipal Trust - January 25

Vir-Sec, Inc. - January 17
Murphy, Christopher

Jones, Kenneth - January 14

Quarve Associates, LLC - January 11

Embrace Home Loans, Inc. - January 8

First Allied Securities, Inc. - January 2
First Allied Advisory Services, Inc.


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