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
2021 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.

Abbington Investment Group, LLC - August 9

AE Wealth Management, LLC - March 18

Bonnanzio, Richard Louis - September 20
NorthOne Capital Partners, LLC

Chatsworth Securities, LLC - January 27

Commonwealth Equity Services, LLC
d/b/a Commonwealth Financial Network - September 17

CV Brokerage, Inc. - May 27 - July 1

Davinci Capital Management, Inc. - October 12

Endeavor Global Partners Corp. - November 17
Endeavor Global Partners (HK) Ltd.
Fresne, David Manning

Jax Acquisitions II LLC - April 9 - June 30 - July 6

KJM Securities, Inc. - December 23

Lifestyle Freedom Advisory Group, LLC - December 22

LPL Financial LLC - December 3

Monomoy Capital Management, L.P.  - October 7

Mountain Vista Wealth Management, LLC - August 13

Paiva, Fernando Manuel - September 27

Renison, Thomas David - January 15

Renison, Thomas James - March 25

Salusbury, Frederic H. - March 10

Smith, Travis - March 26 - April 21 - April 22

Stone Beach Investment Management, LLC - December 2

Volumetric Fund, Inc. - January 19  

Other Years:  2023  |  2022  |  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.