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Violations of the Codes of Ethics by Public Officials or Lobbyists

2000 - 2009

Docket No. 2009-75:  In the Matter of a Complaint against David G. Carter.  The Office of State Ethics entered into a Stipulation and Consent Order with Respondent, resolving allegations that Respondent, former Chancellor of the Connecticut State University System, failed to inform his superiors or the OSE when he was faced with a conflict of interest involving the hiring of his spouse, a former Dean at one of the state universities, into a temporary contract following her retirement.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,000.

Docket No.  2009-70:  In the Matter of a Complaint against Jurg Lanzrein. The Office of State Ethics and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent, while an employee of Western Connecticut State University (“WCSU”), violated CGS § 1-84 (i) by entering into two contracts with WCSU without an open and public bid process, and violated § 1-84 (c) by receiving a financial advantage from these contracts in the total amount of $165.  Respondent admitted to the violations.  Under the terms of the settlement, the OSE ordered Respondent to pay a civil penalty of $500 for his violations of CGS § 1-84 (c) and (i), and to disgorge the $165 financial gain, for a total of $665.

Docket No. 2009-68:  In the Matter of a Complaint against Ray Bouchard.  A complaint filed by a member of the public alleged that Respondent violated the Code of Ethics by allegedly failing to take action in response to another’s alleged violation of the Code of Ethics.  Following investigation, the OSE determined that there was insufficient evidence to establish probable cause to believe that Respondent violated the Code of Ethics as alleged.  The complaint was dismissed.  Subsequently, Respondent waived his right to confidentiality and the file was made a part of public record.

Docket No. 2009-67:  In the Matter of a Complaint against Peter Agnesi.  Following investigation, the OSE determined that there was insufficient evidence to establish probable cause to believe that Respondent violated the Code of Ethics for Public Officials as alleged.  The Complaint, filed by a member of the public, alleged that Respondent abused his state position by purchasing a fire truck for $60,000 more than another bid from a former subordinate who was subsequently hired by Respondent as on-campus police officer, limiting the recruitment advertisement process.  The Complaint was dismissed by the OSE.  Subsequently, Respondent waived his right to confidentiality and the file was made a part of public record. 

Docket No. 2009-46:  In the Matter of a Complaint against Gary Kasey.  On March 3, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, an education consultant hired by the Department of Children and families, knowingly provided gifts, on two occasions, to state employees of the Court Support Services Division of the Office of Juvenile Probation, a department or agency with whom Respondent conducted businesses and/or sought to conduct business.  Respondent admitted to the violations.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $900 for his violation of CGS § 1-84 (m).

Docket No. 2009-14:  In the Matter of a Complaint against Maritime Professional Advisors, LLC.  On February 26, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent violated CGS § 1-94 by engaging in lobbying without registering with the OSE.  The Complaint also alleged that Respondent failed to file the periodic financial reports in relation to such lobbying in violation of CGS § 1-96 (b). Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000.  

Docket No. 2009-11:  In the Matter of a Complaint against Senator Paul R. Doyle.  A Complaint filed by Chris Healy, member of the public, alleged that Respondent, a state senator who, in his private capacity, also provided legal services to Connecticut Resources Recovery Authority (“CRRA”), delayed receipt of payment for legal services from the CRRA in late 2007 in order to avoid exceeding the threshold amount that would have prohibited Respondent, as a state contractor, from legally contributing to any political campaigns.  The Complaint alleged that Respondent’s actions constituted (1) a financial interest which is in substantial conflict with the proper discharge of his duties as a state senator, in violation of CGS § 1-84 (a); (2) an acceptance of outside employment that impaired his independence of judgment as to his official duties or employment in violation of § 1-84 (b); and (3), a use of his public office or position for financial gain in violation of CGS § 1-84 (c).  Following an investigation, the Ethics Enforcement Officer of the OSE determined that there was insufficient evidence to establish probable cause to believe that Respondent violated the Code of Ethics.  The Complaint was dismissed.  Subsequently, Respondent waived his right to confidentiality and the file was made a part of the public record. 

Docket No. 2009-6: In the Matter of a Complaint against Albenie Gagnon.  On November 11, 2009, The OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent, a state marshal had failed to file an accurate Statement of Financial Interests for Marshals for the calendar year 2007, thereby violating CGS  §1-83 and Regulations of Connecticut State Agencies § 1-82-12(a).  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $917.85. 

Docket No. 2008-51: In the Matter of a Complaint against Deidre Clement.  On December 21, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c) by charging for services in excess of state pricing rules.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse a member of the public the amount of $528, the amount of the overcharge.

Docket No. 2008-50: In the Matter of a Complaint against Carrie Parker.  On October 30, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c) by charging for services in excess of state pricing rules.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse a member of the public the amount of $307.75, the amount of the overcharge.  

Docket No. 2008-49:  In the Matter of a Complaint against Sharon Haas.  On December 21, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c) by charging for services in excess of state pricing rules.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse a member of the public the amount of $371.25, the amount of the overcharge.    

Docket No. 2008-48:  In the Matter of a Complaint against Kathy Jordan.  On December 21, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c) by charging for services in excess of state pricing rules.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse the member of the public the amount of $207.75, the amount of the overcharge.   

Docket No. 2008-47:  In the Matter of a Complaint against Mary Fjelldal.  On December 21, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c) by charging for services in excess of state pricing rules.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse a member of the public the amount of $212.50, the amount of the overcharge.

Docket No. 2008-38:  In the Matter of a Complaint against Philip Jacobs.  On December 17, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a bail bondsman, provided cash gifts, loans and other items of value to state employees in exchange for, in consideration of, or as a reward for, assistance in providing referrals and information regarding bonds, and based on the understanding that the state employee’s official action or judgment would be or had been influenced thereby, in violation of CGS § 1-84 (f).   Under the terms of the settlement, Respondent agreed to pay a civil penalty in the amount of $2,500, and, for two years following the execution of the Consent Order, Respondent may not to seek or enter into employment with the state of Connecticut, accept work as a bail bondsman in the state of Connecticut, or enter into or seek any contract for services with the state of Connecticut.

Docket No. 2008-36: In the Matter of a Complaint against Robert Jacobs.  On November 30, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a bail bondsman, provided cash gifts, loans and other items of value to state employees in exchange for, in consideration of, or as a reward for, assistance in providing referrals and information regarding bonds, and based on the understanding that the state employee’s official action or judgment would be or had been influenced thereby, in violation of CGS § 1-84 (f).   Under the terms of the settlement, Respondent agreed to pay a civil penalty in the amount of $2,500, and, for two years following the execution of the Consent Order, Respondent may not to seek or enter into employment with the state of Connecticut, accept work as a bail bondsman in the state of Connecticut, or enter into or seek any contract for services with the state of Connecticut.

Docket No. 2008-35:  In the Matter of a Complaint against James Barone.  On June 2, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while an employee of the Department of Corrections, violated CGS § 1-84 (c) by using confidential information acquired in the course of his official duties and/or used his state position for financial gain.  Under the terms of the settlement, Respondent admitted to the violation and was ordered to pay a civil penalty in the amount of $500, not to seek employment or enter into a contract with the state for a period of two years, or enter into or seek a contract for state services for the same period.

Docket No. 2008-31:  In the Matter of a Complaint against Matthew Gallagher. On April 5, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while an Associate Professor at Norwalk Community College, used state equipment and resources to establish and run an internet store, and used the College’s mail system to send and receive goods bought and sold through the store.  The Complaint also alleged that among the items sold in Gallagher’s store were books and videos he had used for his classes but for which he had already been reimbursed by the College, in violation of CGS § 1-84 (c).  Under the terms of the settlement, the OSE ordered Respondent to pay a civil penalty of $1,000.   

Docket No. 2008-25:  In the Matter of a Complaint against Maureen Duggan.  On January 20, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while serving as an employee of the former State Ethics Commission, violated CGS § 1-80 (h)(2) by failing to  conduct herself in a manner which promotes the integrity and impartiality of the Commission.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $1,000.    

Docket No. 2008-23:  In the Matter of a Complaint against Cynthia McClendon. On April 7, 2010, Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a former administrative assistant for the Connecticut Public Defender’s Office in New Haven, provided information from state files to a bail bondsman in exchange for gifts and cash of at least $500.  Respondent violated CGS §1-84 (c) by using her office for financial gain, and CGS § 1-84 (g) by accepting a thing of value based on the understanding that her official action or judgment had been influenced thereby.  Under the terms of the settlement, the OSE ordered Respondent to pay a civil penalty of $1,500.  In addition, under the Order, Respondent is prohibited from seeking or accepting state contracts or state employment for two years and, should Respondent become a state employee in the future, Respondent is required to file Statement of Financial Interests with the OSE.

Docket No. 2008-21:  In the Matter of a Complaint against Lawrence M. Hurley.  On March 1, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, an Assistant State’s Attorney, used his access to funds that were intended either to provide restitution to victims of crime or as charitable donations and diverted those funds for his own personal use.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,000, and not to enter into, or seek, a state contract for service for a period of two years following the date of the execution of the Consent Order.    

Docket No. 2008-9:  In the Matter of a Complaint against James Sward.  On March 10, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while a Public Defender for the Bristol Superior Court, used his access to funds paid by criminal defendants that were intended to provide restitution to victims of crime, and diverted those funds for his own personal use, in violation of CGS §1-84 (c).  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $3,000, and to not seek state employment or enter into any state contract for a period of two years following the date of the execution of the Consent Order.

Docket No. 2008-8:  In the Matter of a Complaint against CORE Associates, LLC.  On June 2, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent violated CGS § 1-86e (1) by entering into a contract with the state to evaluate a program at a state-funded agency with which it simultaneously held a contract, therefore creating a conflict of interest.  Respondent denied any violation of the Code of Ethics.  Under the terms of the settlement, the OSE ordered and Respondent agreed to pay a civil penalty in the amount of $2,500.    

Docket No. 2007-60:  In the Matter of a Complaint against Jill D’Antona.  On October 21, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a former judicial marshal at the New Haven Courthouse, used her state position to obtain financial gain for herself, in violation of CGS § 1-84 (c), and accepted gifts in the form of cash from bail bondsmen based on the understanding that her official actions would be or had been influenced thereby, in violation of CGS § 1-84 (g).  Under the terms of the Settlement, the OSE ordered Respondent to pay a civil penalty of $600.  In addition, the settlement prohibits Respondent from seeking or entering into employment or any contract for services with the state of Connecticut for two (2) years following the execution of this agreement, and, should Respondent become a state employee, Respondent shall be required to file a Statement of Financial Interests with the OSE for each year in which she serves as a state employee. 

Docket No. 2007-56:  In the Matter of a Complaint against Pamela Fritz.  On November 7, 2008, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, as a Community Training Home Monitor for the Department of Developmental Services (formerly the Department of Mental Retardation), used her state position for financial gain for her spouse and/or business with which she was associated, in violation of CGS § 1-84 (c).  Under the terms of the settlement, Respondent was ordered to pay damages to the State in the amount of her financial gain of $228.64, and a civil penalty of $2,000. 

Docket No. 2007-53:  In the Matter of a Complaint against George V. Lawler, Jr.   On January 6, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while acting under the authority of a state contract as a court committee in a foreclosure proceeding, used his state position to obtain financial gain for himself or a member of his immediate family by referring real estate business to his spouse in violation of CGS § 1-86e (a)(1).    Under the terms of the settlement, agreed not to accept any contract with any state agency or department until on or after October 1, 2009; and to pay a civil penalty of $2,500.    

Docket No. 2007-40:  In the Matter of a Complaint against Nancy LaGuardia.  On June 23, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while a professor at the Capital Community College (“CCC”), violated CGS § 1-84 (b) by accepting outside employment that impaired her independence of judgment as to her official capacities.  Under the terms of the settlement, the OSE ordered Respondent to pay a civil penalty of $2,500.    

Docket No. 2007-39:  In the Matter of a Complaint against Daniel Cunningham.  On February 17, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while an employee for the Norwalk Community College (“NCC”) violated CGS § 1-84 (i) by entering into a contract with NCC without an open and public bid process, and violated § 1-84 (b) by accepting outside employment that impaired his independence of judgment as to his official duties as state employee.  The OSE ordered Respondent to pay a civil penalty of $500 per violation, for a total of $1,000.    

Docket No. 2007-24: In the matter of a Complaint against Priscilla Dickman.  In January 2010, following a multi-day hearing, the Citizen’s Ethics Advisory Board held that Respondent, while a University of Connecticut Health Center (“UCHC”) employee, violated CGS § 1-84 (c) by using state resources and equipment to run a jewelry business and travel agency from her state desk during work hours, in violation of § 1-84 (c).  The Board ordered Respondent to pay a civil penalty of $10,000 for her misuse of office with respect to the jewelry business, and a $5,000 penalty for her misuse of office with respect to the travel consulting business.   Pursuant to CGS § 1-88 (d), the matter was then referred to the Connecticut Attorney General’s Office to obtain recovery of the financial advantage gained by Respondent through her violations of the Code.    

Respondent appealed the Board’s decision to the Hartford Superior Court which, following a hearing, dismissed the appeal.  Dickman v. Office of State Ethics et al., CV-10-6003844S (J.D., Hartford, August 31, 2011).”  The dismissal was upheld by the Court of Appeals. 140 Conn.App. 754 (2013).  The Supreme Court denied certification. 308 Conn. 934 (2013).    

Docket No. 2007-22: In the Matter of a Complaint against Robyn Danahy. On November 26, 2007, the OSE and Respondent entered into a Consent Order, resolving allegations that Respondent, a former employee of the University of Connecticut Athletics Department, had sought employment from a contractor of the university, and did not disclose this fact when she participated on the selection committee that was considering renewing the contract.  Under the Consent Order, Respondent paid a $5,000 civil penalty.

Docket No. 2007-21: In the Matter of a Complaint against Warren Godbolt.  On February 8, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a former executive director of a nonprofit job training agency, violated CGS § 1-84 (f) by giving money to then state senator Ernest E. Newton II, based on the understanding that Newton would assist Respondent in securing bond monies for his agency.  Under the terms of the settlement, Respondent admitted to the violation and agreed to pay a civil penalty of $1,000.  In addition, Respondent is prohibited from seeking or entering into employment with the state of Connecticut for two years following the execution of the Consent Order, and is required to provide written notice to the OSE should he, or a business with which he is associated, accepts, enters into, applies for, or substantially participates in the completion of any state contract prior to January 1, 2012.

Docket No. 2007-19:  In the Matter of a Complaint against James Martin.  On March 26, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent violated a revolving-door provision of the Ethics Code by accepting employment with a state contractor with which he interacted as a state employee.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $6,000 and, for two years from the date of the settlement, may neither engage in lobbying in Connecticut nor act as the architect of record on any state contract.

Docket No. 2007-16:  In the Matter of a Complaint against Ernest E. Newton II.  On March 1, 2011, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent solicited and accepted $5,000 from a non-profit organization in exchange for his official action as state senator, in violation of CGS 1-84 (g), and failed to disclosed this income on his Statement of Financial Interests in violation of CGS sections 1-83 (a) (1) and 1-83 (b) (1).  Pursuant to the terms of the settlement, Respondent is prohibited from holding state employment, or seeking or holding a state contract, for six months following the execution of the Stipulation and Consent Order.  In addition, should Respondent accept state employment in the future, he is ordered to file a Statement of Financial Interests with the OSE.  Respondent previously pleaded guilty in federal court for receiving the bribe, for which he was imprisoned and paid a substantial fine. 

Docket No. 2007-13:  In the matter of a Complaint against Louis C. DeLuca.  On November 17, 2008, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while a state Senator holding the position of Minority Leader, violated General Statues §1-84 (j) by soliciting and accepting a gift in the form of proposed services from a person who was acting on behalf of a registered lobbyist.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,500.

Docket No. 2007-12: In the Matter of a Complaint against Tracey Weeks.  On March 26, 2008, the Commission and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent failed to file an accurate Statement of Financial Interests (“SFI”) for the years 2004 and 2005, thereby violating  CGS §§1-83 (a)(1) and 1-83 (b)(1), and also failed to recuse herself and file a disclosure statement pursuant to  CGS §1-86 regarding a potential conflict of interest wherein she took official action which was likely to affect the financial interest of her spouse.   Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $6,530. 

Docket No. 2007-10:  In the Matter of a Complaint against Theodore Wojtusik. On June 19, 2008, the OSE and Respondent, a retired Trooper for the Connecticut State Police, entered into a Stipulation and Consent, resolving allegations that Respondent submitted time cards on multiple occasions that did not accurately reflect the overtime hours that he had actually worked, and as a result, Respondent received money to which he was not entitled, in violation of CGS § 1-84 (c).  Under the terms of the settlement, Respondent agreed to pay $6,000.  Respondent had previously retired from state service, and reimbursed the state $7,968.13.

Docket No. 2007-9:  In the Matter of a Complaint against Reginald F. Allard, Jr.  On April 8, 2008, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while a state employee and training officer at the Police Officer Standard and Training Council (“POST”), violated CGS § 1-84 (c) by using his state position to obtain personal financial gain through his private business.   Respondent had previously been instructed by the OSE that his conduct would violate the Code of Ethics.  Under the terms of the settlement, Respondent agreed to pay $27,825.    

Docket No. 2007-1:  In the Matter of a Complaint against Raymond Cox.  On January 14,, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while serving as an Assistant Rail Administrator for the Department of Transportation violated CGS §§ 1-84 (m) and 1-84 (c) by accepting a gift from a person the he knew or had reason to know was doing business with or seeking to do business with his department or agency, and by using his position to obtain financial gain for himself.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500. 

Docket No. 2006-65: In the Matter of a Complaint against Adrienne Nails. On March 9, 2007, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, an employee of the Department of Veterans Affairs (DVA), entered into a contract with DVA without an open and public process as required by law.  Under the terms of the settlement, Respondent agreed to pay a $250 civil penalty.

Docket No. 2005-10:  In the Matter of a Complaint against Lynda Morris.  On June 2, 2008, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while a state employee in the Judicial Branch, violated CGS § 1-84 (c) by using her state position to obtain personal financial gain by accessing certain state databases for the benefit of her private employer.  Under the terms of the settlement, Respondent agreed to pay $500 as a penalty for her violation of CGS § 1-84 (c). 

Docket No. 2005-7:  In the Matter of a Complaint against Albemarle Equities, LLC.  On May 10, 2005, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent, a registered lobbyist, violated a gift ban on the Code of Ethics for Public Officials that prevents lobbyists from knowingly providing a gift to any public official or a member of any such official’s immediate family.  In particular, Respondent permitted the Vice-President of the State Properties Review Board and her husband, to stay free of charge at a Vermont condominium on or about February 26-27, 2004.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000.    

Docket No. 2005-6:  In the Matter of a Complaint by John Kardaras against Rachel Rubin.  Following investigation, Special Enforcement Counsel Mary E. Schwind found there was no probable cause to believe that Respondent violated any provisions of the Code of Ethics for Public Officials by holding two state positions, as Special Counsel for Ethics Compliance within the Office of the Governor and as Director of Compliance for Storrs and Regional Campuses for the University of Connecticut.    Special Enforcement Counsel determined that there was no probable cause to believe that Respondent had violated the Code of Ethics by holding these two state positions.  Respondent waived her right to confidentiality and asked that the file be made a part of the public record.     

Docket No. 2005-5:  In the Matter of a Complaint against Konover Properties Corporation.  On May 2, 2005, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent, a business seeking or holding contracts with the state, violated the gift ban in the Code of Ethics by providing meals in excess of the $50.00 annual meal limit.  Under the terms of the settlement, Respondent was required to pay a civil penalty of $7,700.         

Docket No. 2005-3:  In the Matter of a Complaint against Scott W. Jellison.  On June 20, 2005, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent, an employee for the State of Connecticut Department of Public Works, was found to have received food and/or beverages in excess of the legal limit of $50.00 per calendar year on more than one occasion since April 26, 2002 from Gilbane Building Company, a company that he knew or had reason to know was doing business with his agency.  Under the terms of the settlement, the Respondent agreed to pay a civil penalty of $500.       

Docket No. 2005-2: In the Matter of a Complaint against Gilbane Building Company.  On June 20, 2005, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent provided benefits in excess of the legal limits to two state employees who were employed by an agency with which Respondent was doing business.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $5,000.     

Docket No. 2004-4:  In the Matter of a Complaint against Edna M. Berastain.  On August 13, 2004, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that, following her departure from state service, Respondent represented her new employer for compensation before her former agency concerning matters in which the state had a substantial interest, in violation of  CGS §1-84b (b).  Under the settlement, Respondent agreed to pay $1,000.

Docket No. 2004-01: In the Matter of a Complaint against Theodore Anson. On November 2, 2007, the OSE and Respondent entered into a Consent Order, resolving allegations that Respondent, the former Commissioner of Public Works, received a gift from a person who had contracted with, and was seeking to enter into a contract with the DPW and failed to report the gift on his 2000 statement of financial interest. Under the terms of the settlement, Respondent paid $30,000, half of which was attributed to the OSE (the other half was attributed to the Attorney General as a result of litigation filed by the AG).    

Docket No. 2003-12:  In the Matter of a Complaint against Robert V. Matthews.  On December 29, 2008, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent violated CGS § 1-84 (m) by giving a gift or gifts in violation of this section; §1-94 (1) by failing to register as a communicator lobbyist; § 1-96 (b) and § 1-99 (b) by failing to file periodic lobbyist reports; and §1-97 (b) by entering into a contract that was contingent upon the outcome of a lobbying effort.   Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,000.    

Docket No. 2003-9:  In the Matter of a Complaint against SRS Transportation Company, LLC.  On September 12, 2003, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent violated CGS §1-94 by failing to register as a client lobbyist.  The Complaint also alleged that Respondent failed to file the periodic financial reports in violation of CGS §1-96 in relation to such lobbying.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $2,000 and to file the appropriate financial reports.

Docket No. 2003-7:  In the Matter of a Complaint against Lawrence E. Alibozek.  On July 11, 2003, the Commission found there was probable cause to believe that Respondent, the former Deputy Chief of Staff to Governor John G. Rowland, had violated  CGS §§ 1-84 (c) and 1-84 (g) and that he fraudulently concealed his violations of the Ethics Code for Public Officials.  The Complaint alleged that Respondent violated CGS §§ 1-84 (c) and 1-84 (g) by accepting and soliciting checks, gold bullion coins, cash, and other things of value from persons doing business with the State of Connecticut, and accepted such things with the intent to be influenced and rewarded in return for steering large state contracts to certain individuals and/or their companies.  The Complaint also alleged that Respondent knowingly acted in his financial interest or knowingly received a financial advantage resulting from the violations of these statutes, and that he fraudulently concealed these violations and acts from the State Ethics Commission.  The Commission referred the matter to the State of Connecticut Attorney General pursuant to CGS § 1-88 (d).     

Docket No. 2003-5:  In the Matter of a Complaint against John G. Rowland.  On June 13, 2003, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent, the Governor of Connecticut, directly and personally received gifts valued at $10.00 or more, which included lodging, from William A. Tomasso (“Tomasso”), a person that Respondent knew or should have known was doing business with Respondent’s department or agency, or was engaged in activities which were directly regulated by such department of agency.  Further, the Complaint alleges that Respondent directly and personally received gifts valued at $10.00 more, which included lodging, from Robert V. Matthews (“Matthews”), a person that Respondent knew or should have known was doing business with Respondent’s department or agency, or was engaged in activities which were directly regulated by such department of agency.  Under the terms of the settlement, Respondent agreed to pay $6,792.00, which is an amount equal to the difference between what Respondent paid for lodging accommodations from Tomasso and Matthews, and an additional $2,000 civil penalty. 

Docket No. 2003-4: In the Matter of a Complaint against Arthur H. Diedrick. On July 10, 2008, the OSE and Respondent entered into a Consent Order, resolving allegations that Respondent, the former Chairman and President of the Connecticut Development Authority, failed to disclose a potential conflict of interest when a company with whom his wife owned stock applied to his agency for a multi-million dollar loan.  Under the terms of the Consent Order, Respondent paid a total of $16,000.

Docket No. 2002-13:  In the Matter of a Complaint against Dawn Ryzak.  On July 11, 2003, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent, a former employee of the Judicial Branch, violated  CGS Section §1-84 (c) by conducting an outside business using state equipment and information, thereby using her state position for personal financial gain.  The Complaint also alleges that Respondent violated CGS §1-84 (b) by accepting outside employment that impaired her judgment as to her official duties as a state employee.  Under the terms of the settlement, Respondent agreed to pay a $500 civil penalty. 

Docket No. 2002-2:  In the Matter of a Complaint against Linda Kowalski.  On November 29, 2005, the Commission and Respondent entered into a Stipulation and Order., resolving allegations that Respondent, a registered communicator lobbyist, filed reports which she knew to be false constituting violations of  CGS §§1-96 (a) and/or 1-96 (b); that Respondent intentionally failed to obtain and preserve proper records necessary to substantiate reports filed by or on behalf of a client lobbyist in violation of  CGS §1-96a(a); that Respondent failed to accurately report expenditures for the benefit of an itemizable person on periodic financial reports filed on behalf of one or more of her client lobbyist registrants in violation of  CGS §1-96 (e); that Respondent failed to report her unreimbursed expenditures for the benefit of an itemizable person in violation of   CGS §1-96 (b); and that Respondent provided gifts in excess of annual legal limits, in violation of  CGS §1-96 (a).  Under the Stipulation and Order, Respondent agreed to pay a civil penalty of $25,000.00 and to place in escrow $20,000.00 relative to a dispute between Respondent and a client over certain expenses.  Respondent also agreed to numerous injunctive provisions for a time period following the settlement.      

Docket No. 2002-10: In the Matter of a Complaint against Christopher Dunn.  On November 6, 2002, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent accepted outside employment that impaired his independence of judgment and that he used his state office for financial gain.  Under the settlement, Respondent agreed to pay a $1,200 civil penalty. 

Docket No. 2002-7: In the Matter of a Complaint against Jane E. Neilson.  On December 13, 2002, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent violated the Code’s use of office prohibition, open and public contract requirements and post-state employment restrictions.  As a result, she was required to pay a civil penalty of $4,000.

Docket No. 2002-4: In the Matter of a Complaint against David S. Brown.  On July 12, 2002, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent violated he ban on accepting employment with an entity after having been involved in the award of a State contract to that entity; and the one year prohibition on compensated appearances before one’s former agency.  Under the settlement, Respondent agreed to pay a $10,000 civil penalty for violation of the Ethics Code’s post-state employment provisions. 

Docket No. 2002-3: In the Matter of a Complaint against St. James Associates LLC.  On July 15, 2002, the Commission and Respondent settled this finders’ fee matter by entering into a Stipulation and Order.  Under the settlement, Respondent St. James was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, St James was required to repay approximately $1.75 million in finders’ fees and $150,000 in legal fees to the State.

Docket No. 2001-15:  In The Matter of a Complaint against William Sadek.  On January 7, 2002, the Commission finalized a settlement with Respondent, the Chief Clerk for the New Haven Judicial District, which had been authorized on December 12, 2001.  Under the terms of the Stipulation and Order, Respondent agreed to pay a civil penalty of $2,000 for improperly utilizing his public position on behalf of a private dry cleaning business.  Respondent was also required to return $2,000 in benefits he had received as a result of the violation. 

Docket No. 2001-13:  In The Matter of a Complaint against The Mashantucket Pequot Tribal Nation/Foxwoods Resort Casino.  On September 14, 2001, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a civil penalty of $40,000 for violating the Code’s gift limits and reporting requirements in connection with receptions held at the 2000 Republican and Democratic National Conventions.

Docket No. 2001-12:  In The Matter of a Complaint against Nancy Bernstein.  On September 14, 2001, the Commission and Respondent, a former Associate Vice-President at the UCONN Health Center, entered into a Stipulation and Order.

Docket No. 2001-11: In The Matter of a Complaint against Raymond G. Baldwin, Jr.  On March 8, 2002, the Commission and Respondent entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a $500 civil penalty for violating §1-84 (b) of the Ethics Code by sitting as a hearing officer in a DMV administrative hearing involving one of his private legal clients.

Docket No. 2001-10:  In The Matter of a Complaint against Timothy Byrne.  On July 13, 2001, the Commission and Respondent, the Chair of a Department at UCONN, entered into a Stipulation and Order.  Under the terms of the settlement, Respondent agreed to pay a $1,000 civil penalty for improperly using his public position for the benefit of his professor/spouse by recommending her for a merit raise. 

Docket No. 2001-9:  In The Matter of a Complaint against Edwin Chadwick.  On July 13, 2001, the Commission and Respondent, a former member of the Board of the Connecticut Development Authority (CDA), entered into a Stipulation and Order.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000 for improperly using his office by negotiating with CDA officials in connection with financing for a business he owned.

Docket No. 2001-8:  In The Matter of a Complaint against United Technologies Corp. On June 1, 2001, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a civil penalty of $3,000 for violating the Code’s gift limits, reporting requirements, and record keeping statutes in connection with a reception held at the 2000 Democratic National Convention.

Docket No. 2001-7:  In The Matter of a Complaint against Northeast Utilities. On June 1, 2001, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a civil penalty of $3,000 for violating the Code’s gift limits, reporting requirements, and record keeping statutes in connection with a reception held at the 2000 Democratic National Convention. 

Docket No. 2001-6:  In The Matter of a Complaint against UDV North America, Inc.  On June 1, 2001, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a civil penalty of $3,000 for violating the Code’s gift limits, reporting requirements, and record keeping statutes in connection with a reception held at the 2000 Democratic National Convention. 

Docket No. 2001-3:  In The Matter of a Complaint against ESPN, Inc.  On March 30, 2001, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a civil penalty of $30,000 for violating the Code’s gift limits and reporting requirements in connection with a reception held at the 2000 Republican National Convention.

Docket No. 2000-30:  In the Matter of a Complaint against Peter Kelly.  On or about November 17, 2001, the former State Ethics Commission (“Commission”) filed a complaint against Respondent alleging that he engaged in illegal contingent fee lobbying, failed to register as lobbyist with the Commission, and failed to file required lobbyist financial reports.  After the completion of a preliminary investigation, the matter against Respondent was dismissed and was subsumed into Docket No. 2002-3, in the Matter of a Complaint against St. James Associates, LLC. which was settled through Stipulation and Consent Order on July 15, 2002.

Docket No. 2000-29:  In the Matter of a Complaint against George C. Finley.  On or about November 17, 2001, the former State Ethics Commission (“Commission”) filed a complaint against Respondent alleging that he engaged in illegal contingent fee lobbying, failed to register as lobbyist with the Commission, and failed to file required lobbyist financial reports.  After the completion of a preliminary investigation, the matter against Respondent was dismissed and was subsumed into Docket No. 2002-3, in the Matter of a Complaint against St. James Associates, LLC. which was settled through Stipulation and Consent Order on July 15, 2002.

Docket No. 2000-28: In The Matter of a Complaint against Crossroads Investment Company, L.P.: On November 30, 2000, the Commission and Respondent entered into a Stipulation and Order. Under the Agreement, Respondent admitted that it had failed to register and report, as required by the Lobbyist Code, when it hired a consulting firm to assist in maintaining contracts with the Office of the Treasurer. Additionally, Respondent admitted that its contract with the consulting firm was an illegal contingent fee agreement. As part of its Orders, the Commission directed Respondent to cease and desist any further contingent fee payments and ordered that Respondent pay 1.2 million dollars in such monies to the Connecticut Retirement Plans and Trust Funds. This case marks the first settlement resulting from the OSE’s year-long Finders Fee inquiry.

Docket No. 2000-19: In The Matter of a Complaint against Ray C. Dethy. On April 7, 2000, the Commission and Respondent, a Professor at Central Connecticut State University, agreed to settle this matter by entering into a Stipulation and Order, which noted Respondent's unintentional violation of the Code. Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000 for accepting outside employment that impaired his independence of judgment. Specifically he was found to have performed private consulting work for the Hospital for Special Care when he was involved in the management, on behalf of the University, of a partnership between the School and the Hospital.

Docket No. 2000-18: In the Matter of a Complaint against David Fearon. On April 7, 2000, the Commission and Respondent, a Professor at Central Connecticut State University, entered into Stipulation and Order. Under the settlement, Respondent agreed to pay to the State $6,000 in bonus payments which he had improperly received from a private entity, the Hospital for Special Care, for work performed in his State capacity.

Docket No. 2000-17: In The Matter of a Complaint against Sharon T. Portnoy. On April 7, 2000, the Commission and Respondent, Regional Director of State Government Affairs for Philip Morris, entered into a Stipulation and Order. Under the settlement, Respondent agreed to pay a civil penalty of $4,000 for failing to register as a lobbyist and failing to file required disclosure reports. Additionally, Ms. Portnoy was banned from lobbying in Connecticut for one year as a result of her intentional use of false information in preparing and signing Philip Morris’ expenditure reports. This marks the first time in Commission history that the Code’s lobbying ban has been imposed.

Docket No. 2000-16: In The Matter of a Complaint against Philip Morris Management Company. On April 7, 2000, the Commission and Respondent, a registered client lobbyist, entered into a Stipulation and Order. Under the settlement, Respondent agreed to pay a civil penalty of $20,000 for: falsely reporting expenditures for the benefit of public officials; violating the Code’s gift ban; failing to file required reports; failing to report expenditures in furtherance of lobbying; failing to report certain administrative lobbying; failing to keep proper records; and failing to provide required notification to public officials.

Docket No. 2000-15:  In The Matter of a Complaint against Westport Advisors LTD.  On April 18, 2001, the Commission and Respondent settled this finder’s fee matter by entering into a Stipulation and Order.  Under the settlement, Westport was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, Westport was required to place $437,000 in escrow for eventual repayment to the State’s pension fund.  (The monies will be returned to the pension fund if and when parallel litigation against Westport’s consultant is successfully concluded.)  Respondent was also required to pay a civil penalty of $2,000 and file the appropriate lobbyist registrations and financial disclosure reports.

Docket No. 2000-14: In The Matter of a Complaint against New York Capital Partners, Inc.  On February 15, 2002, the Commission and Respondent settled this finders’ fee matter by entering into a Stipulation and Order.  Under the settlement, NYCP was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, NYCP was required to repay approximately $591,000 in finders’ fees to the State Pension Fund.  Respondent was also required to pay a $2,000 civil penalty.

Docket No. 2000-13:  In The Matter of a Complaint against Keystone Venture Capital Management Company.  On May 11, 2001, the Commission and Respondent settled this finder’s fee matter by entering into a Stipulation and Order.  Under the settlement, Keystone was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, Keystone was required to place $156,000 in escrow for eventual repayment of the State’s pension fund.  (The monies will be returned to the pension fund if and when parallel litigation against Keystone’s consultant is successfully concluded.)  Respondent was also required to pay a $2,000 civil penalty and file the appropriate lobbyist registrations and financial disclosure reports.

Docket No. 2000-12: In The Matter of a Complaint against Glenn T. Carberry.  On November 19, 2002, the Commission and Respondent settled this finders’ fee matter by entering into a Stipulation and Order.  Under the settlement, Carberry was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, he was required to repay in excess of $180,000 in finders’ fees to the State Pension Fund.  Respondent was also required to pay a civil penalty of $2,000.

Docket No. 2000-5: In The Matter of a Complaint against Crescendo Ventures III, L.L.C. et al.  On July 3, 2001, the Commission and Respondent, a venture capital management firm, settled this finder’s fee matter by entering into a Stipulation and Order.  Under the settlement, Crescendo was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, Crescendo was required to place approximately five million dollars in present and future contingent finder’s fees in escrow for eventual repayment to the State’s pension fund.  (The monies will be returned to the pension fund if and when parallel litigation against Crescendo’s consultants is successfully concluded.)  Respondent was also required to pay a $2,000 civil penalty and file the appropriate lobbyist registrations and financial disclosure reports.

Docket No. 2000-4:  In the Matter of a Complaint against Orville C. Karan.  On November 30, 2000, the Commission and Respondent entered into a Stipulation and Order.  Respondent was employed by the State of Connecticut at one time as Director of the University of Connecticut’s A.J. Pappanikou Center (“the Center”) on Special Education and Rehabilitation, and at all times as a professor in the School of Education at the University of Connecticut.  The Complaint alleged that during his tenure as the Director of the Center, Respondent supervised and was substantially involved in the establishment of Directions, Inc., a non-profit corporation.  The Complaint also alleged that on January 10, 1997, the Commission issued an opinion which held that, because of Respondent’s involvement in his official capacity with Directions, Inc., his acceptance of any remuneration from Directions, Inc. would violate  CGS §1-84 (c).  The Complaint alleged that in June of 1997, a second corporation, Directions of Rhode Island was formed and that on June 30, 1997 Directions, Inc. transferred $30,000.00 to Directions of Rhode Island.   Under the Settlement, the Commission found that Respondent accepted $24,000.00 in consulting fees/payments from Directions of Rhode Island beginning in November of 1997 and that the acceptance of such payments was in violation of  CGS §1-84 (c).  Under the settlement, Respondent agreed to pay a civil penalty in the amount of $15,000.00. 

Docket No.  2000-3:  In the Matter of a Complaint against Peter Kelly.  In January of 2000, the former State Ethics Commission (“Commission”) filed a complaint against Respondent alleging that he engaged in illegal contingent fee lobbying, failed to register as lobbyist with the Commission, and failed to file required lobbyist financial reports.  After the completion of a preliminary investigation, the matter against Respondent was dismissed and was subsumed into Docket No. 2002-3, in the Matter of a Complaint against St. James Associates, LLC, which was settled through Stipulation and Consent Order on July 15, 2002.

Docket No.  2000-2:  In the Matter of a Complaint against John Droney.  In January of 2000, the former State Ethics Commission (“Commission”) filed a complaint against Respondent alleging that he, as a member of St. James Associates, engaged in illegal contingent fee lobbying, failed to register as lobbyist with the Commission, and failed to file required lobbyist financial reports.  After the completion of a preliminary investigation, the matter against Respondent was dismissed and was subsumed into Docket No. 2002-3, in the Matter of a Complaint against St. James Associates, LLC, which was settled through Stipulation and Consent Order on July 15, 2002.

Docket No.  2000-1:  In the Matter of a Complaint against George C. Finley.  In January of 2000, the former State Ethics Commission (“Commission”) filed a complaint against Respondent alleging that he, as a member of St. James Associates, engaged in illegal contingent fee lobbying, failed to register as lobbyist with the Commission, and failed to file required lobbyist financial reports.  After the completion of a preliminary investigation, the matter against Respondent was dismissed and was subsumed into Docket No. 2002-3, in the Matter of a Complaint against St. James Associates, LLC, which was settled through Stipulation and Consent Order on July 15, 2002.