State of Connecticut Department of Banking

Martin Luther King, Jr. Corridor Designation - Request for Information The Department of Banking is seeking applications for the designation of "Martin Luther King, Jr. (MLK) Corridors" to promote secured and unsecured lending in the state with the intention of stimulating economic development within those corridors. More information may be found here. Apply via the DAS CTSouce Bid Board, type DOB-24084 in the search field.

Securities and Business Investments Division
2016 Administrative Orders and Settlements 

Important Note: Securities Conditional Registrations are not listed on this page. For information on conditional registrations, please visit the department’s Verify a License page.

Bridgewater Communications Group LLC - August 3
The Exchange, LLC
Schur, Peter Adam

Cantone Research Inc. - October 20
Polakoff, Victor

Dang, Hai Khoa - November 29 - December 16

David Lerner Associates, Inc. - October 26

Dratel Group, Inc. (The) - September 19 - November 4

Entertainment Only, LLC - April 20 - August 29

Evans, John W. d/b/a Evans Technology Holding Company - September 22
Evans, Bonnie A.

Filomeno Wealth Management, LLC - January 11

Gray, Robert Lawrence - October 20

Halcyon Cabot Partners, Ltd. - February 16 - April 20

Harbor Vista Wealth Management LLC - April 22 - June 10 - July 27

Hershman, Peter David - August 19

Hunton Oil Partners LP - August 29
Giddings Oil and Gas LP
Asym Energy Fund III LP

Martinez-Ayme Financial - February 18
Group Incorporated
d/b/a Martinez-Ayme Securities

Meyers Associates, L.P. - December 5

Omniview Capital Advisors, LLC - August 17
Discala, Abraxas J.

Peter R. Mack & Co., Inc. - February 3
Mack, Peter Richard

Q 350 Ely LLC - January 26
Quinn, James P.
Youm, Gary

Quesnel, Dale Joseph Sr. - March 3

Rafal, John William - August 19

RBS Securities Inc. - September 30
RBS Securities Inc. (FX matter) - September 30

Rockingham Capital Advisors LLC - May 16
Frew, Scott Little

Seiler, Thomas E. - February 2

Silver Oak Securities, Incorporated - August 3

Steffany, Paul Anthony - May 13

Tatoian, John A. - April 8

Trade-PMR Inc. - July 7

Tricarico, Robert Neil - April 22 - June 10 - July 27

RNT Wealth Management LLC - April 22 - June 10 - July 27

Tyrol, Lee - August 29
Tyrol Group, LLC
Native American Tyrol Energy, LLC

Other Years:  2023  |  2022  |  2021  |  2020  |  2019  |  2018  |  2017  |  2015  |  2014

For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170.