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:
Hafen, Herbert H. a/k/a Hafen, Elias - February 11
Native American Energy Group, Inc. - January 28
D'Arrigo, Joseph Gatano
Nanvaan, Raj S. f/k/a Tejbir Singh
Bautista, J.R. Jr.
LeadPoint, Inc. - January 23
d/b/a Secure Rights
ARO Equity, LLC - January 9
Renison, Thomas David
Renison, Thomas James
Bay-Valley Mortgage Group - January 8
d/b/a Bay-Valley Mortgage Group, Inc.
d/b/a Pacific Bay Lending Group
d/b/a Valley View Home Loans
Smart Marketing Corp. - January 6
Smart Family Group LLC
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