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The Department of Banking has moved! On Monday, November 24, 2025, the Department of Banking relocated its offices to 280 Trumbull Street in Hartford.
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Augment Securities Inc - Stipulation
Hanley and Associates LLC - Stipulation
Woodard, Matthew - Consent Order
Voya Financial Advisors - 2018 CD-Rest-NOIF
Rafal, John - CD-NOIR-NOIF
David Lerner Associates Inc - Consent
RBS Securities Inc - Consent Order
Cantor Fitzgerald - Stipulation
Hershman, Peter - CD-Disgorgement-NOIF
Meyers Associates - 2017 Consent Order
Meyers Associates LP - 2016 NOIR-CD-NOIF
Gray, Robert Lawrence - Hearing Decision
Rafal, John - 2017 Consent Order
Tricarico, Robert-Denial-Fine
Halcyon Cabot Partners, Ltd. - NOIR
