The Office of State Ethics is now located at 165 Capitol Avenue, Suite 1200, Hartford, CT 06106, across the street from the Bushnell Theater. The staff is available via telephone (860-263-2400) or by email at: (ose@ct.gov). If you wish to obtain services in person, we encourage you to contact us in advance to schedule a visit.

Violations of the Codes of Ethics by Public Officials or Lobbyists

2010 - 2021

Docket No. 2021-04 In the Matter of a Complaint against Erik Johnson.  On September 21, 2021, the OSE and the Respondent entered into a Consent Order, in which the Respondent admitted to violating Section 1-84b (g), which prohibits members of a quasi-public agency from seeking, accepting, or holding employment with a party to a contract valued at $50,000 or more for a period of one year after the signing of the contract, where the member participated substantially in the negotiation or award of the contract.  The Respondent violated Section 1-84b (g) when he entered into an agreement within one year with one of the parties to the contract.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $2,500. 

Docket No. 2021-13 In the Matter of a Complaint against Carla Ocampo.  On July 26, 2021, the OSE and the Respondent entered into a Consent Order, in which the Respondent admitted to violating Section 1-84b (b), which prohibits a former state employee from being paid to represent anyone other than the state before their former agency, within one year after departure from state service.  The Respondent violated Section 1-84b (b) when she represented a private business for compensation before her former agency within a year of leaving her position as the Regional Chief Operating Officer at the Department of Correction.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $500. 

Docket No. 2020-18 In the Matter of a Complaint against Robert Sember.  On July 16, 2021, the OSE and the  Respondent entered into a Consent Order, settling allegations of violations of Section 1-84 (c) which prohibit a public official from using state resources for financial gain and Section 1-84 (b) which prohibit a public official from accepting employment that would impair their independence of judgement as to his state duties.  As a member of the Connecticut State Contracting Standards Board the acceptance of employment with a private business – specifically with regard to seeking a PPE contract with DAS – compromised his independence of judgement.  Respondent agreed to pay a civil penalty of $2,500. 

Docket No. 2021-07 In the Matter of a Complaint against Christian McDavid.  On June 14, 2021, the OSE and the  Respondent entered into a Consent Order, settling allegations of violations of Section 1-84 (i) which prohibits members of a state employee’s immediate family from entering into a contract with the state without the contract being awarded through an open and public process.  The Enforcement Division found that the Respondent, an independent contractor, entered into two contracts with Central Connecticut State University (“CCSU”) without the contracts being awarded through an open and public process.  Respondent agreed to pay a civil penalty of $1,000. 

Docket No. 2020-12  In the Matter of a Complaint against Sean Condon.  On  February 26, 2021, the OSE and the Respondent entered into a Consent Order, settling allegations of violations of Section 1-84 (c) and 1-84 (b) where the Respondent utilized his state-issued computer, state-provided e-mail account, and state phone in order to run several private businesses, including aretail men’s hair and skin care product business and an internet marketing business, from his workstation while on state time.  Section 1-84 (c) prohibits state employees from using their office for personal financial gain.  In addition, by operating his private businesses from his workstation, the Respondent was found to have violated DEEP work rules and, accordingly, accepted other employment which impaired his independence of judgment as to his official duties in violation of Section 1-84 (b). Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $5,000.

Docket No. 2020-6  In the Matter of a Complaint against Jo-Ann Williams.  On  August 10, 2020, the OSE and the Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state position to obtain personal financial gain.   Respondent violated the Code of Ethics when she used her state position in the hiring of her sister to teach classes and mentor students, and to approve her sister’s work hours.  The Respondent also failed to disclose the conflict of interest, in violation CGS § 1-86 (a).  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,500.

Docket No. 2019-34  In the Matter of a Complaint against Louis Sorrentino.  On March 2, 2020, the OSE and the Respondent entered into a Consent Order, settling allegations that Louis Sorrentino, a Certified Addictions Counselor at the Connecticut Valley Hospital (“CVH”), a facility operated by the Department of Mental Health and Addiction Services, violated the Code of Ethics for Public Officials when he used his state computer and other resources to conduct work related to his private businesses. In addition, the Complaint alleged that the Respondent violated the Code of Ethics when he identified himself as a state employee and used his state badge in an effort to assist a private client who had been admitted to an area hospital. General Statutes Section 1-84 (c) of the Code of Ethics states a public official or state employee is prohibited from using their position to obtain personal financial gain. Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $500, and in a separate personnel action has separated from state service.

Docket No. 2019-9  In the Matter of a Complaint Against Andrea Lombard.  On  September 5, 2019, the OSE and the Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Respondent violated the Code of Ethics when she used her state position in the hiring of her daughter for a temporary summer position and for failing to disclose the conflict of interest, in violation CGS § 1-86 (a).  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $2,500.

Docket No. 2019-02  In the Matter of a Complaint against Krishna Mistry.  On August 8, 2019, the OSE and the Respondent entered into a Consent Order, settling allegations that Krishna Mistry, a Transportation Engineer at the Connecticut Department of Transportation, violated the Code of Ethics for Public Officials when he, in his state capacity, requested and received delivery of state construction materials to his home from a state contractor, in violation of General Statutes section 1-84 (c).  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $350, and in a separate personnel action resigned from state service.

Docket No. 2018-42  In the Matter of a Complaint against Softheon, Inc.   On  December 26, 2018, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84b (f), which prohibits a contractor from employing a public official for a period of one year after leaving state service by a party to a state contract valued at $50,000 or more if he was substantially involved in, or supervised, the negotiation or award of that contract and it was signed within his last year of state service.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $5,000.

Docket No. 2018-41  In the Matter of a Complaint against Lisa Secondo.  On May 1, 2019, the OSE and the Respondent entered into a Consent Order, settling allegations that Lisa Secondo violated the Code of Ethics by using her state position to create an $80,000 temporary worker position in a proposed grant for the Department of Mental Health and Addiction Services that she herself intended to full upon her retirement from state service.  General Statutes Section 1-84 (c) of the Code of Ethics states a public official or state employee is prohibited from using their position to obtain personal financial gain.  In addition, she also violated Section 1-86 (a), which requires a state employee with a potential conflict of interest in a matter to disclose in writing the matter and nature of the conflict.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $5,000. 

Docket No. 2018-40  In the Matter of a Complaint against James Wadleigh.   On  December 20, 2018, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84b (f), prohibiting a public official from being hired for a period of one year after leaving state service by a party to a state contract valued at $50,000 or more if he was substantially involved in, or supervised, the negotiation or award of that contract and it was signed within his last year of state service.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $5,000.

Docket No. 2018-30  In the Matter of a Complaint against Chris Scyocurka.  On August 7, 2018, J. Brendan Sharkey (“Complainant”) filed a complaint alleging that Chris Scyocurka (“Respondent “) violated General Statutes § 1-97 (b), which prohibits “employment as a lobbyist for compensation which is contingent upon the outcome of any administrative or legislative action.”  Complainant and Respondent filed a Joint Motion for Leave to Withdraw Complaint and to Waive Confidentiality with the Citizens Ethics Advisory Board on May 16, 2019 pursuant to Regulations of Connecticut State Agencies § 1-92-24a (e) and General Statutes § 1-93a (a), respectively.  The CEAB granted the joint motion on May 16, 2019.  On May 24, 2019, the Complainant withdrew the complaint and the Respondent waived confidentiality.

Docket No. 2018-29  In the Matter of a Complaint against Green Earth Energy Photovoltaics.  On August 7, 2018, J. Brendan Sharkey (“Complainant”) filed a complaint alleging that Green Earth Energy Photovoltaics (“Respondent “) violated General Statutes § 1-97 (b), which prohibits “employment as a lobbyist for compensation which is contingent upon the outcome of any administrative or legislative action.” Complainant and Respondent filed a Joint Motion for Leave to Withdraw Complaint and to Waive Confidentiality with the Citizens Ethics Advisory Board on May 16, 2019 pursuant to Regulations of Connecticut State Agencies § 1-92-24a (e) and General Statutes § 1-93a (a), respectively.  The CEAB granted the joint motion on May 16, 2019.  On May 24, 2019, the Complainant withdrew the complaint and the Respondent waived confidentiality. 

Docket No. 2018-14  In the Matter of a Complaint against David Kozak.  On March 21, 2019, the OSE and the Respondent entered into a Consent Order, settling allegations that David Kozak violated the Code of Ethics for Lobbyists when he failed to register to lobby on behalf of a private client prior to lobbying on the client’s behalf before the Department of Education.  General Statutes sections 1-94 and 1-95 require that communicator lobbyists register with the Office of State Ethics prior to engaging in lobbying.  In 2015, Kozak failed to register on behalf of a client, but nevertheless engaged in lobbying on the client’s behalf.  In addition, Kozak failed to file financial reports with the Office of State Ethics as required by General Statutes section 1-96.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000.

Docket No. 2018-02  In the Matter of a Complaint against Ryan O'Hara.   On  June 7, 2018, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84b (b), prohibiting a former state employee from being paid to represent anyone other than the state before his former agency, within one year after departure from state service.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000.

Docket No. 2017-33  In the Matter of a Complaint against Arlindo Almeida.   On  March 19, 2018, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $750.

Docket No. 2017-32  In the Matter of a Complaint against Kozak & Salina, LLC.  On March 21, 2019, the OSE and the Respondent entered into a Consent Order, settling allegations that Kozak & Salina, LLC violated Part IV of the Code of Ethics (“Ethical Considerations Concerning Bidding and State Contracts”).  From 2014 to 2016, Kozak & Salina was a party to a consultant services contract with the Connecticut Technical High School System (CTHSS) and was therefore subject to General Statutes section 1-101nn.  While under contract, Kozak & Salina submitted invoices to CTHSS that included work performed on behalf of a private client, thereby charging the state for work that was not performed on behalf of the state.  General Statutes section 1-101nn prohibits a consultant from charging the state for “work not performed” and from charging “unreasonable and unsubstantiated rates.”  By billing the state for work on behalf of its private client, Kozak & Salina violated 1-101nn.  This case represents the first major case brought by the Office of State Ethics under this provision of the Code.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $10,000.

Docket No. 2017-28  In the Matter of a Complaint against Raffaella Coler.   On  August 13, 2018, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $250.

Docket No. 2017-15  In the Matter of a Complaint against Charmane Thurmand.  On March 7, 2019, following a four-day hearing, the Citizen’s Ethics Advisory Board concluded that former UCONN Graduate School Diversity Officer Charmane Thurmand, violated both the use-of-office and conflict-of-interests provisions of the Code of Ethics. Under the terms of the Finding, Memorandum and Order the Board imposed a civil penalty of $20,000, which represents the maximum penalty for each of the two violations.

Docket No. 2017-12  In the Matter of a Complaint against Frank Farricker.   On  October 12, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $5,000, and restitution to the state in the amount of $6,318.19.

Docket No. 2016-50  In the Matter of a Complaint against Philip Cohen.   On  June 29, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84b (b), prohibiting a former state employee from being paid to represent anyone other than the state before his former agency, within one year after departure from state service.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000.

Docket No. 2016-44  In the Matter of a Complaint against Stephen Keller.   On  August 28, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Respondent violated the Code of Ethics when he used state resources to perform tasks related to his paid outside consulting firm.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $1,000.

Docket No. 2016-37  In the Matter of a Complaint against James Mindek.   On  September 5, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Respondent violated the Code of Ethics when he used his state position in the hiring of his son for a temporary consulting position.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000.

Docket No. 2016-32  In the Matter of a Complaint against Lisa Berzins.  On  April 6, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Respondent violated the Code of Ethics when she utilized her state-issued computer and other state-owned equipment to conduct outside work-related tasks for the private company and did so on state time, while receiving pay from the state. Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $1,000.

Docket No. 2016-10  In the Matter of a Complaint against Leonard Lev.   On February 8, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.  The complaint alleged that from December 2014 through December 2015, Respondent utilized state resources, including his state-issued computer and other state resources, in order to conduct his private business.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,500.

Docket No. 2015-42  In the Matter of a Complaint against Jason Rawlinitis.  On December 4, 2015, the OSE and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, within a year after leaving his state position at the Department of Corrections, improperly appeared before his former agency on behalf of his new employer concerning a matter in which the State had a substantial interest, in violation of CGS § 1-84b (b).  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $1,500.

Docket No. 2015-15 In the Matter of a Complaint against Dennis King.  On February 9, 2016, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that the Respondent violated CGS §1-84b (b) when he appeared before his former state agency on behalf of a private client within one year after departure from the agency.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $1,500.

Docket No. 2015-2  In the Matter of a Complaint against David Tassavor.   On June 3, 2016, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent solicited state contractors for a job for his son, in violation of CGS § 1-84 (c).  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000.

Docket No. 2015-1 In the Matter of a Complaint against Jeffrey Gottlieb. On September 2, 2015, the OSE and Respondent entered into a Consent Order, settling allegations that Respondent utilized state resources, including his state-issued computer, in order to process administrative paperwork for his private employer, in violation of CGS § 1-84 (c).  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $1,500. 

Docket No. 2014-43  In the Matter of a Complaint against Amisha Desai.   On June 29, 2015, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent utilized state resources, including her state-issued computer, state-provided e-mail account and state phone, in order to conduct her private businesses - including restaurants, a liquor store, and a hotel - In violation of CGS §1-84 (c).  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000.  

Docket No. 2014-39  In the Matter of a Complaint against Thomas Tracey.   On July 6, 2015, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations of violations of CGS §§1-84 (c) and 1-84 (p)(2) that arose when the Responded assisted James Liss (the Respondent in Docket No. 2014-21) in selling scrap metal owned by the state for personal profit.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $250.  

Docket No. 2014-32  In the Matter of a Complaint against David Audibert.   On April 5, 2016, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations of violations of CGS §§ 1-84b (a), 1-84b (b), and 1-84b (f), prohibiting certain activities after leaving state service.  Respondent also violated §1-84 (c) which prohibits a state employee from using his position to obtain financial gain for himself; § 1-86 (a), the potential conflict-of-interest provision; and §§ 1-83 (a)(1) and (b)(1), relating to the filing of an accurate statement of financial interests. Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $16,000. 

Docket No. 2014-21  In the Matter of a Complaint against James Liss.   On June 18, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS §1-84 (c), which prohibits a state employee from using his position to obtain financial gain for himself.  Respondent also violated CGS § 1-84 (q), which provides that no state employee shall intentionally counsel, authorize or otherwise sanction action that violates the Code.  Respondent violated the use-of-office provisions by using his access to state gasoline for personal use, directing subordinates to gather scrap metal belonging to the state, among other violations.  Under the terms of the Consent Order, Respondent agreed to pay a civil penalty of $5,500.  

Docket No. 2014-19  In the Matter of a Complaint against Robert Silverberg.  On January 22, 2015 the OSE entered into a Stipulation and Consent Order, settling allegations of violations of CGS § 1-97 (b).  Robert Silverberg, the managing partner and sole member of Morris|London, LLC, a domestic limited liability company entered into a lobbying contract that contained contingency fees.  The Citizen's Ethics Advisory Board imposed a penalty of $10,000, which was suspended conditioned upon Respondent’s compliance with eight separate injunctive terms lasting between five and ten years. 

Docket No. 2014-10  In the Matter of a Complaint against Jason Spann.   On January 26, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c).  Under this section of the Code, a public official or state employee is prohibited from using their state position to obtain personal financial gain.  The complaint alleged that Respondent utilized state resources, including his state-issued computer and state-provided e-mail account, in order to conduct his private clinical services business.  He also used another state employee to perform tasks related to his private practice, while using state resources and on state time.  Under the terms of the Consent Order, Respondent agreed to pay a civil penalty of $3,500.  

Docket No. 2014-08  In the Matter of a Complaint against Manuel Rosales.   On October 21, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.  The complaint alleged that from 2010 through 2014, Respondent utilized state resources, including his state-issued computer and state-provided e-mail account, in order to conduct his private business.  He also violated CGS §1-84 (b) which prohibits a public official or state employees from accepting outside employment that will impair his independence of judgment as to his official duties or employment.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $5,000, ($3,500 for his violations of § 1-84 (c) and $1,500 for his violations of § 1-84 (b)).

Docket No. 2014-07  In the Matter of a Complaint against Ralph Ford.   On July 6, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c).  Under this section of the Code, a public official or state employee is prohibited from using his or her state position to obtain personal financial gain.  The complaint alleged that from 2010 through 2014, Respondent utilized state resources, including his state-issued computer and state-provided e-mail account, in order to operate his private clinical practice.  He also violated §1-84 (b) which prohibits a state employee from accepting outside employment that will impair his independence of judgment as to his official duties or employment.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $15,000, and agreed to not enter into any contracts with the State of Connecticut to provide psychological evaluations or treatment for a period of six months from the date of the Order. 

Docket No. 2014-06  In the Matter of a Complaint against Craig J. Lubitski Consulting LLC.   On April 10, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-86e (b).  Under this section of the Code, a state contractor is prevented from using confidential information gained in the performance of the contract for its own financial gain.  The Citizen's Ethics Advisory Board imposed a penalty of $10,000.

Docket No. 2014-02  In the Matter of a Complaint against Sandy Breslin.   On September 18, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS §§ 1-94, 1-95 and 1-96.  The complaint alleged that Respondent failed to register with the OSE prior to engaging in lobbying in 2013, and also failed to timely file a 2013 disclosure of income.  Under the terms of the settlement Respondent paid a civil penalty of $2,300. 

Docket No. 2013-53  In the Matter of a Complaint against Mary Keating.   On March 5, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (b).  Under this section of the Code, a public official or state employee is prohibited from accepting other employment that impairs her independence of judgment as to her state duties.  Under the terms of the Consent Order, Respondent agreed to pay a civil penalty of $500.

Docket No. 2013-34  In the Matter of a Complaint against Eldon G. Porter.   On September 3, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c).  The complaint alleged that Respondent, an analyst and Policy and Research Specialist for Access Health CT, used his state position to attempt to obtain financial gain for himself from a state contractor.  Under the terms of the settlement Respondent paid a civil penalty of $600.

Docket No. 2013-24  In the Matter of a Complaint against Pfizer, Inc. (“Pfizer”) the OSE entered into a Consent Order, settling allegations of violations of  CGS § 1-96 (a)(e). Pfizer, a client lobbyist registrant, violated the Code of Ethics when it failed to report expenses associated with a lobbying reception it hosted during the 2012 Democratic National Convention.  Under the terms of the settlement Pfizer paid a civil penalty of $5,000.

Docket No. 2013-23  In the Matter of a Complaint against Diageo North America, Inc. (“Diageo”) the OSE entered into a Consent Order, settling allegations of violations of  CGS §§ 1-96 (a)(e) and 1-97(d).  Diageo, a client lobbyist registrant, violated the Code of Ethics when it failed to report expenses associated with a lobbying reception it hosted during the 2012 Democratic National Convention and failed to provide proper notification to attendees. Under the terms of the settlement Diageo paid a civil penalty of $5,000.

Docket Nos. 2013-21 and 2013-22  In the Matter of a Complaint against CPV Towantic, LLC (“Towantic”) and CPV Danbury.  On October 23, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS §§ 1-96 (a) and (e) and 1-97(d). Towantic and CPV Danbury, client lobbyist registrants, violated the Code of Ethics when they failed to report expenses associated with a lobbying reception it hosted during the 2012 Democratic National Convention and failed to provide proper notification to attendees.  Additionally, Towantic violated § 1-95 (a) which requires registration every two years or prior to commencement of lobbying, whichever comes first.  Under the terms of the settlement Towantic and CPV Danbury paid an aggregate civil penalty of $5,230. 

Docket Number 2013-20  In the Matter of a Complaint against Boehringer Ingelheim Pharmaceuticals, Inc., (“Boehringer”).  On October 23, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS §§ 1-96 (a) and (e) and 1-97(d). Boehringer, a client lobbyist registrant, violated the Code of Ethics when it failed to report expenses associated with a lobbying reception it hosted during the 2012 Democratic National Convention and failed to provide proper notification to attendees. Under the terms of the settlement Boehringer paid a civil penalty of $5,000.

Docket Number 2013-19  In the Matter of a Complaint against United Healthcare Services Inc., (“UHS”). On October 23, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS §§ 1-96 (a) and (e).  UHS, a client lobbyist registrant, violated the Code of Ethics when it failed to report expenses associated with a lobbying reception it hosted during the 2012 Democratic National Convention.  Under the terms of the settlement UHS paid a civil penalty of $5,000.

Docket No. 2013-1  In the Matter of a Complaint against Darlene West.  On July 30, 2013, the OSE entered into a Stipulation and Consent Order with Respondent, Darlene West for violations of CGS § 1-84 (c).  The Complaint alleged that Respondent, an insurance examiner at the Office of the Healthcare Advocate, violated the Code of Ethics when she used state resources to facilitate business transactions related to her private real estate business.  Under the terms of the settlement, Respondent paid a civil penalty of $500.

Docket No. 2012-60  In the Matter of a Complaint against Rosa Bailey.  On March 17, 2014, the OSE entered into a Stipulation and Consent Order with Respondent, Rosa Bailey for violations of CGS § 1-84 (c).  The Complaint alleged that Respondent, a former employee of the Department of Energy and Environmental Protection, violated the Code of Ethics when she used state resources to facilitate business transactions related to her private jewelry and candle business.  Under the terms of the settlement, Respondent paid a civil penalty of $250.

Docket No. 2012-45  In the Matter of a Complaint against Lucille Dellamarggio.   On September 18, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c).  Under this section of the Code, a public official or state employee is prohibited from using her state position to obtain personal financial gain.  The complaint alleged that, beginning July 2008 and lasting until March 2012, Respondent misappropriated mental health client funds over which she had custody and control.   Under the terms of the settlement Respondent paid a civil penalty of $4,750.

Docket No. 2012-36 In the Matter of a Complaint against David Levinson.  On April 17, 2014, the OSE entered into a Consent Order with Respondent, David Levinson, settling allegations of violations of  CGS §§ 1-84 (c) and 1-86 (a). The Complaint alleged that Respondent, President of Norwalk Community College, violated the Code of Ethics when he authorized the use of state funds to pay for his wife’s attendance and/or registration at four events in 2010.    Under the terms of the settlement, Respondent paid a civil penalty of $3,000: $1,000 for violating § 1-84 (c) of and $2,000 for violating § 1-86 (a).

Docket No. 2012-26  In the Matter of a Complaint against Roger Thomas.  On June 18, 2013, the OSE entered into a Stipulation and Consent Order with Respondent for violations of CGS § 1-86 (a).  The Complaint alleged that Respondent, an employee at of the Department of Transportation, failed to inform his superiors or the OSE when he was faced with a conflict of interest involving the hiring of his son by a contractor over which he had administrative oversight. Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,500.

Docket No. 2011-80  In the Matter of a Complaint against Kermit Thompson.  On December 19, 2012, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent had represented a private party for compensation before his former agency within a year of leaving state service, in violation of § 1-84b (b).  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,000.

Docket No. 2011-69  In the Matter of a Complaint against John Tricarico.  Following a hearing pursuant to CGS § 1-82 in September 2012, the Citizen’s Ethics Advisory Board found that Respondent violated § 1-86e, which prohibits state contractors from using a state contract to enhance their own personal financial gain.  Respondent was ordered by the Board to pay a civil penalty of $10,000.

Docket No. 2011-60  In the Matter of a Complaint against Cira Romann.  On September 12, 2012, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent, an employee of the Commission on Human Rights and Opportunities (CHRO) violated § 1-84 (q) by “counseling, authorizing and/or sanctioning” a former employee to violate the Code by (1) encouraging the former state employee to represent an individual with a pending CHRO action by introducing them; (2) providing the former state employee with confidential information regarding the CHRO matter in which the former state employee represented the individual; and (3) providing the former state employee with updates regarding the CHRO’s strategy with respect to the matter in which the former state employee represented the individual.  Respondent was penalized $6000 for her conduct, $4000 of which was suspended by the CEAB. 

Docket No. 2011-57  In the Matter of a Complaint against Tucker McWeeney.  On September 21, 2012, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a former employee of the Commission on Human Rights and Opportunities (CHRO) violated § 1-84b (b) for representing someone for compensation before his former agency within a year of his departure from CHRO.  Respondent paid a penalty of $2,500 in resolution of the matter.  

Docket No. 2011-23  In the Matter of a Complaint against Jon Green.  On November 17, 2011, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, as the Executive Director for a registered lobbyist, engaged in lobbying without registering with the OSE, in violation of CGS §§ 1-94.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $10,000.

Docket No. 2010-69  In the Matter of a Complaint against Tara Bateman.  On April 26, 2011, the OSE and Respondent entered into a Stipulation and Consent Order, settling 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 overcharging for monitoring services.   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 $1,337, the amount of the overcharge. 

Docket No. 2010-63  In the Matter of a Complaint against James Birch.  On January 17, 2012, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a part-time employee as a University Assistant at Western Connecticut State University (“WCSU”) violated CGS § 1-84 (i) by entering into several independent service contracts with individual departments at the University to tune and service those departments’ pianos, without an open and public bid process.  Under the terms of the Settlement, the OSE ordered Respondent to pay a civil penalty of $110 for his violations CGS § 1-84 (i).

Docket No. 2010-62  In the Matter of a Complaint against Donald Stitt.  On April 26, 2011, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, who is married to a full-time faculty member of the Theatre Arts Department at Western Connecticut State University (“WCSU”,) violated CGS § 1-84 (i) by entering into contracts in July 2009 and 2010 for services to run workshops for the Master’s in Fine Arts program, without an open and public bid process.  Under the terms of the Settlement, the OSE ordered Respondent to pay a civil penalty of $400 for his violations CGS §1-84 (i).

Docket No. 2010-56  In the Matter of a Complaint against Anthony Lewis.  On December 23, 2011, the Ethics Enforcement Officer of the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, who is a Human Resources manager at the Connecticut Military Department, used the state-owned gymnasium at the Manchester Armory, for his own (and his family’s) personal use on multiple occasions in 2008 and 2009 without paying the required fees.  Under the terms of the Settlement, the OSE ordered Respondent to pay $450 in penalties for his violations of CGS §1-84 (c).    

Docket No. 2010-50  In the Matter of a Complaint against Margaret Hooper.  On November 2, 2010, the Ethics Enforcement Officer of the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Planning Branch Chief at the Department of Public Health (“DPH”), used her state position for financial gain when she requested DPH personnel to perform a laboratory test on her behalf of a substance she obtained in her personal capacity and unrelated to any legitimate work purpose, in violation of CGS § 1-84 (c).  Under the terms of the Settlement, the OSE ordered Respondent to pay $500 in penalties and $250 in damages, the amount of her financial advantage she received for the violation.

Docket No.  2010-45  In the Matter of a Complaint against MaryAnn Douglas.  On November 2, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a state marshal who was required to file a Statement of Financial Interests for the years 2008 and 2009, did not fully and completely reflect the income she received in her capacity as state marshal, as required by CGS § 1-83 (a) and Regulations of Connecticut State Agencies § 1-82-12 and 1-81-13.  Under the terms of the settlement, Respondent admitted to the violations and agreed to pay a civil penalty of $1,791 and to henceforth file accurate SFIs.

Docket No. 2010-31  In the Matter of a Complaint against Curtis Harmon.  On July 18, 2012, the Ethics Enforcement Officer of the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, an Advanced Nurse Practitioner employed by the Department of Children and Families violated CGS § 1-84 (b) by accepting other employment that impaired his independence of judgment as to his official state duties and or induced him to disclose confidential information acquired by him in the course of his state employment.  Under the terms of the Settlement, the OSE ordered Respondent to pay a civil penalty of $2,500 for his violations CGS § 1-84 (b).     

Docket No. 2010-30  In the Matter of a Complaint against Terrence Backer.  On November 9, 2012, the OSE and Respondent entered into a Stipulation and Consent Order.  The Complaint alleged that Respondent, a State Representative, violated CGS 1-84 (d) by appearing before the Department of Environmental Protection on behalf of a private client.  § 1-84 (d) prohibits public officials from appearing before certain agencies on behalf of private clients while employed by the state.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500 for his violation.           

Docket No. 2010-23  In the Matter of a Complaint against G. Kenneth Bernhard.  On May 27, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while serving as a member of the Citizen’s Ethics Advisory Board, violated CGS § 1-80 (i) by making three political contributions in the total amount of $250 to individuals who ran for state office in Connecticut.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $3,500.  This matter was investigated by Special Ethics Enforcement Officer Jill Hartley.     

Docket No. 2010-16  In the Matter of a Complaint against Michael J. Fago.  An amended Complaint, filed by the Ethics Enforcement Officer of the OSE , alleged that Respondent violated CGS § 1-82a on more than one occasion,  by disclosing the existence of two confidential complaints he had previously filed with the OSE, but which complaints were dismissed for lack of probable cause.  The matter was dismissed as moot following the receipt of waivers of confidentiality from the individuals against whom Mr. Fago filed ethics complaints.  Mr. Fago waived his rights to confidentiality and the file was made part of the public record.

Docket No. 2010-08 In the Matter of a Complaint against Jeffrey Reynolds.  On November 29, 2010 the OSE and Respondent entered into a Consent Order, resolving allegations that Respondent, while serving as the Director of Capitol Projects and Contract Administration at UConn, used state funds for twenty three hotel stays, and associated expenses at a local hotel.   Under the terms of the settlement, Respondent agreed to pay a civil penalty of $4,000 to settle allegations that he used his state position for financial gain, in violation of Connecticut CGS §1-84 (c).