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
2020 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.

ARO Equity, LLC - January 9 - April 17 - May 14
Renison, Thomas David - January 9
Renison, Thomas James - January 9

Bankers Life and Casualty Company - April 29

Boomerang Capital, LLC - September 17

Booth, James Thomas - February 14 - April 2- June 18
Insurance Trends, Inc. - February 14 - April 2- June 18

Crowe, Edward Kenneth - October 13

ERG Securities (US) LLC - May 21

Financial Vision Advisory Services, LLC - December 9

Great Heritage Investments, LLC - April 27
Messier, George Henry

Hafen, Herbert H. a/k/a Hafen, Elias - February 11 - July 8 - August 17

Hansbury Group, LLC (The) - November 16

Hoyos-Farfan, Monica - June 24

Janney Montgomery Scott, LLC - October 21

Johnson, Glenn Bradford - May 29
Savona, Annmarie Lucy
Jabez Financial, LLC

Lawrence Insurance - 5, LLC - August 21
Grochmal, Joseph Lawrence, Jr.

Lynch, John J. - August 6

Merrill Lynch, Pierce, Fenner & Smith Incorporated - June 23

Monitor Capital, LLC - July 20

Native American Energy Group, Inc. - January 28 - February 26 - March 13
D'Arrigo, Joseph Gatano - January 28 - June 3 - June 4
Nanvaan, Raj S. f/k/a Tejbir Singh - January 28 - February 26 - March 13
Bautista, J.R. Jr. - January 28 - September 10

North American Drilling Corporation - February 7
Brown Well 1 Joint Venture
Brown Well 1A Joint Venture
Brazelton Well 2A Joint Venture
Koonce, Larry Michael

NYPPEX, LLC - February 21
Allen, Laurence Geoffrey

P-Square Investments LLC - May 29
d/b/a P-Squared Capital Management

Quint Wealth Management, Inc. - October 7

Schupp & Grochmal, LLC - August 21
SG Insurance Investment Fund, LLC
SG Insurance & Technology Investment Fund, LLC
Schupp, David Alexander

Solace Investments, LLC - June 25 - September 2 - September 4
Muzzi, Rafael Alves - June 25 - September 2 - September 4

Solium Financial Services LLC - February 21

TPEG Securities, LLC - June 8

Verespy, Erin Lynn - June 25

Westphalen, Adam - July 27
Mosaic Financial Strategies LLC

Wilmington Capital Securities, LLC - August 25

Other Years:  2023  |  2022  |  2021  |  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.