State of Connecticut Department of Banking

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 Department.Banking@ct.gov 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:

 
Lynch, John J. - August 6  
  
Paxos Trust Company, LLC - July 23
d/b/a itBit
f/k/a itBit Trust Company, LLC

Monitor Capital, LLC - July 20

Lendgo, Inc. – July 10

Southwest Credit Systems, LP – July 9

Top Notch Motors, LLC – July 9
Bordoy, Gabriel

Hafen, Herbert - July 8

Capital Accounts, LLC - June 26

DuBach, Nicole - June 18
Tru-Contact Incorporated
d/b/a TCI

Solace Investments, LLC - June 25
Muzzi, Rafael Alves

Verespy, Erin Lynn - June 25

Hoyos-Farfan, Monica - June 24

Merrill Lynch, Pierce, Fenner & Smith Incorporated - June 23

Booth, James Thomas - June 18

Insurance Trends, Inc. - June 18

TPEG Securities, LLC - June 8

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