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:

Bermingham, Reed Francis - October 10
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

Account Discovery Systems, LLC - September 17

Payment Management Services USA, LLC

Heartland Payment Systems, LLC - September 13
  d/b/a HPS
Heartland Payroll Solutions, Inc.
A&M Capital Advisors, LP - September 12
Prophet, Andrew Seafus - September 11
Prophet Financial Planning, LLC
Archview Investment Group LP - September 5

Bridgeways, Inc. f/k/a Xandros, Inc. - September 5

TAM Capital Management Inc. - August 6

Fastsigns International, Inc. - August 5

New Haven County Credit Union, Inc. - August 5

Sortis Financial, Inc. - August 5

1st Alliance Lending, LLC - August 1

BlueChip Financial - July 23
  d/b/a Spotloan

AvidXchange, Inc. - July 19

Ruoff Mortgage Company, Inc. - July 16
  d/b/a Ruoff Home Mortgage

1st Alliance Lending, LLC - July 15

Greenway Mortgage Funding Corp. - July 9
  d/b/a Emerald Home Loans

Houge, David E. - July 8

Vecchitto, John Jr - July 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