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:

Target Finance, LLC - March 29
d/b/a Target Cash Now

DuBach, Nicole - March 28
Tru-Contact Incorporated
  d/b/a TCI
Tek-Collect Incorporated

North American Drilling Corporation - March 27

Brown Well 1 Joint Venture
Brown Well 1A Joint Venture
Brazelton Well 2A Joint Venture
Koonce, Larry Michael

Andrews-McKay, Vaughn Lee - March 25

Soma Equity Partners, LP - March 20

The Hamilton Law Association, P.A. - March 18

Voya Financial Advisors, Inc. - March 11

Westphalen, Adam - March 11
Mosaic Financial Strategies LLC

Recovery Solutions Group, LLC - March 6 

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