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
2022 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.

Aldwych Securities LLC  - August 8

BlockFi Lending LLC - March 25

Clipper Capital Group LLC - August 3
T&T Capital Partners LLC
Tavares, Steven Alan

Endeavor Global Partners Corp. - September 21
Endeavor Global Partners (HK) Ltd.
Fresne, David Manning

Extreme Marketing Alliance LLC - January 20
Graham, Matt
Diaz, Orlando

Fedorko, Joseph Michael Jr. - May 17

Fortis Group Advisors, LLC - June 30

Heron Bay Capital, LLC - December 7

Hop Knot Franchising Corp. (The) - April 1 - December 20
Boney, Michael T.

Hudson Bay Capital Management LP - October 24

J.A.G. Capital, LLC - February 18
Bozzi, Joseph Richard

KJM Securities, Inc. - May 16

Klein, Samuel - June 20 - September 16 - December 27
KF Pecksland, LLC - June 20 - September 16 - December 27
Visual Group, LLC - June 20 - September 16 - December 27

Macedo, Ruben Anibal - January 27 - April 13 - April 22

NYPPEX, LLC - December 7
Allen, Laurence Geoffrey

Olive Tree Ridge Investment Advisors LLC - September 21

Perkins Fund Marketing, L.L.C. - July 13

Pettit, James Albert - September 7

Pusser's Holdings Investment LLC - January 5 - July 20
Harbor Cap Partners LLC
Jamieson, Stuart

Reilly, Michael M. - June 23
Quantum Capital Investments, LLC

Sage Financial Design, Inc. - May 9
Thompson, Robert Sheldon

Summit Investment Management, LLC - December 23

Verespy, Erin Lynn - May 2

Westphalen, Adam
  Civil Complaint 
  Motion for Summary Judgment
  Ruling-Summary Judgment Motion
  Restitution Order

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.