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
2018 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.

AFT Logistics, LLC n/k/a Equity One Contractors LLC - May 2 - June 28 - July 25
Freeman, Brandi - May 2 - June 28 - July 25
Johnson, Javeir - May 2 - June 28 - July 25

Allen, Trevor M., Sr. - July 13

Allied Energy, Inc. f/k/a Allied Syndications, Inc. - April 25 - June 28 - August 10
SE Ohio Shale & Oriskany Development  - April 25 - June 28 - August 10

Augment Securities Inc. - March 19

Bakitas, Thomas Michael - May 17  - September 10
DRBS Algorithm, LLC

Blaine Capital, LLC - May 15

CE Capital Limited - January 19 - January 31

Connolly, Arthur - January 19 - January 31

Downing, John Mark - September 13 - October 3 - November 16

Dubiel, Walter John - July 12

Empire Wine & Liquor Superstore CT, LLC - April 17
Empire Wine & Liquor Superstore, LLC
Belmonte, Brandon
Belmonte, Judith A.
Ravage, Marc B.

Endeavor Management Solutions, LLC - May 21 - June 9 - July 31
Doyle, James Ward - May 21 - July 6 - July 31

Evans, John W. - January 2
d/b/a Evans Technology Holding Company
Evans, Bonnie A.

Hanley & Associates, LLC - February 23

Hunjo LLC - April 27

Leland Energy, Inc. - June 7 - July 28 - August 29
Leland Tennessee Holdings, Inc. - June 7 - July 28 - August 29
Opportunity Drilling & Acquisition Fund, LLP - June 7 - July 28 - August 29
Stephen M. Thompson - June 7 - July 28 - August 29

LPL Financial LLC - November 15

Moreau Investment Management Company - May 2

Pearson and Associates, LLC - March 19

Pinheiro, John A. - June 5  - September 18

Polakoff, Adele Millicent - August 20

ProEquities, Inc. - July 20

R & R Wealth Strategies, LLC - April 20

Rejda, Troy - May 17

Renaissance Institutional Management LLC - October 30

Romano Brothers and Company - December 11

Sakelarakis, Christopher - July 31 - August 28 - September 21

Scott, Ralph Upton - July 5

SF Investments, Inc. - March 21

Southridge Capital Management LLC - July 6
Hicks, Stephen
[Order Regarding Motion for Judgment in Accordance With Stipulation]

S P Consulting, LLC - December 21
Posa, Steven A. d/b/a SP Financial Services

Stuck, Barton W. - May 2
Signal Lake Management, LLC
Signal Lake Side Fund, L.P.
Signal Lake Side Fund II, L.P.
Signal Lake Side Fund IIA, L.P.
Signal Lake General Partner LLC

Vir-Sec, Inc. - July 20
Murphy, Christopher

Voya Financial Advisors, Inc. - April 23 - November 13

Waterfund LLC - June 19
Waterfund Energy Terminals I LLC
Waterfund Energy Terminals II LLC

Wilbanks Securities, Inc. - June 7 - July 13

Woodard, Matthew Charles - March 23
Toppikgink 539, LLC

Other Years:  2023  |  2022  |  2021  |  2020  |  2019  |  2017  |  2016  |  2015  |  2014 

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