State of Connecticut Department of Banking

To protect the health and safety of the public and our employees, the Department of Banking has limited the number of employees at our office at 260 Constitution Plaza in Hartford. When contacting the Department, please use electronic communication whenever possible. 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: 

Davinci Capital Management, Inc. - October 12

Monomoy Capital Management, L.P.  - October 7

Paiva, Fernando Manuel - September 27

Garcia, Cristobal Lara - September 22

Bonnanzio, Richard Louis - September 20
NorthOne Capital Partners, LLC

Commonwealth Equity Services, LLC
d/b/a Commonwealth Financial Network - September 17

Navient Solutions, LLC - September 13

Great Plains Lending, LLC - September 2
Shotton, John R.
Clear Creek Lending

Resurgent Capital Services L.P. - August 26

Infocom Entertainment LTD, Inc. - August 24
d/b/a Atlantic Pacific Service
Dyer, Roger

Mountain Vista Wealth Management, LLC - August 13

Garcia, Cristobal Lara - August 12

Abbington Investment Group, LLC - August 9

ProCollect, Inc. - July 15

Geneva Financial, LLC - July 7

Jax Acquisitions II LLC - June 30 - July 6

Gusto, Inc - June 24
f/k/a ZenPayroll, Inc.
d/b/a Gusto

Pedroso Legal Services LLC - June 18
a/k/a elawnj.com
Pedroso, Filipe

Seattle Service Bureau, Inc. - June 7
d/b/a National Service Bureau

CV Brokerage, Inc. - May 27 - July 1 

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