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.

* * * * * * * * * * * * * * * * * * * *



IN THE MATTER OF:

STEPHEN GOODRICH

a/k/a STEPHEN W. GOODRICH
a/k/a STEPHEN WESTERN GOODRICH
d/b/a GOODRICH FINANCIAL



* * * * * * * * * * * * * * * * * * * *

*
*
*
*
*
*
*
*
*
*
*
*
*
*
*

CERTIFICATION

DOCKET NO. CRF-13-8085-S


The undersigned hereby certifies, on behalf of the Banking Commissioner (“Commissioner”), that:

1. On July 23, 2013, the Commissioner issued an Order to Cease and Desist, Order to Make Restitution, Notice of Intent to Fine and Notice of Right to Hearing (collectively “Notice”) against Stephen Goodrich a/k/a Stephen W. Goodrich a/k/a Stephen Western Goodrich d/b/a Goodrich Financial (“Respondent”), a copy of the Notice is attached hereto and incorporated by reference herein;
2. The Order to Cease and Desist and Order to Make Restitution provided that they would remain in effect and become permanent against Respondent if a hearing was not requested within 14 days of their receipt;
3. On July 23, 2013, the Notice was sent by certified mail, return receipt requested, to Respondent;
4. On July 29, 2013 and July 30, 2013, Respondent received the Notice;
5. On August 12, 2013, Richard G. Convicer, Esq., of Convicer, Percy & Green, LLP, requested a hearing on behalf of Respondent regarding the matters set forth in the Notice;
6. The hearing was scheduled to be held on September 10, 2013;
7. On August 19, 2013, Richard G. Convicer, Esq., withdrew his request for a hearing on behalf of the Respondent; and
8.  On August 19, 2013, the Order to Cease and Desist and Order to Make Restitution issued against Respondent became permanent.
      

Dated at Hartford, Connecticut,    HOWARD F. PITKIN
this 22nd day of August 2013.    BANKING COMMISSIONER    
    
By: ____/s/_______________ 
  Paul A. Bobruff
  Principal Attorney 

 

Administrative Orders and Settlements