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
2019 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.

A&M Capital Advisors, LP - September 12

Andrews-McKay, Vaughn Lee - March 25

Aquila Municipal Trust - January 25

Archview Investment Group LP - September 5

Bermingham, Reed Francis - October 10 - October 31 - December 12
d/b/a Bermingham Wealth Strategies

Bridgeways, Inc. f/k/a Xandros, Inc. - September 5

ETFConcepts, LLC - November 14

Fastsigns International, Inc. - August 5

First Allied Securities, Inc. - January 2
First Allied Advisory Services, Inc.

Giorgio, Ralph Steven - May 3

Great Heritage Investments, LLC - December 19
Messier, George Henry

Horter Investment Management, LLC - December 18

Houge, David E. - July 8

JC Franchising Group LLC - September 19

North American Drilling Corporation - March 27
Brown Well 1 Joint Venture
Brown Well 1A Joint Venture
Brazelton Well 2A Joint Venture
Koonce, Larry Michael

Prophet, Andrew Seafus - September 11
Prophet Financial Planning, LLC

Quarve Associates, LLC - January 11

Reens, Daniel - October 22

Safe Harbour LLC - September 27
Brinkman, Robert William

Silver Pine Capital, LLC - February 15

Soma Equity Partners, LP - March 20

TAM Capital Management Inc. - August 6

Titan Advisors, LLC - April 25

Vintage Foods Ltd. - April 24

Vir-Sec, Inc. - January 17
Murphy, Christopher 

Voya Financial Advisors, Inc. - March 11

Welsh, James - June 25 - October 16
GHC Fund One LLC a/k/a Gilbert Hill Fund I, LLC - June 25 - October 16  - October 23

Westphalen, Adam - March 11 - May 10 - April 27, 2020
Mosaic Financial Strategies LLC 

Other Years:  2023  |  2022  |  2021  |  2020  |  2019  |  2018  |   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.