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:

Vecchitto, John Jr - December 3

Credit Protection Association, L. P. - November 14
  d/b/a Credit Protection Association, Limited Partnership

ETFConcepts, LLC - November 14

The Hamilton Law Association, P.A. - November 12

Poloniex, LLC - November 7
United American Mortgage Corporation - October 31
  d/b/a Sandstone Financial Services

Top Notch Motors, LLC - October 25
Bordoy, Gabriel

GHC Fund One LLC a/k/a Gilbert Hill Fund I, LLC - October 23

Reens, Daniel - October 22

Bermingham, Reed Francis - October 10 - October 31 - December 12
d/b/a Bermingham Wealth Strategies

Seterus, Inc. - October 9

1st Alliance Lending, LLC - October 4

Safe Harbour LLC - September 27
Brinkman, Robert William

Uphold HQ Inc. - September 25
JC Franchising Group LLC - September 19 

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