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
2023 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.G.P./Alliance Global Partners, LLC - May 3

Black Diamond Lifeplan Fund, Limited Partnership - June 20
Blue Diamond Fund, LLC
Evergreen II Lifeplan Fund, Limited Partnership
Evergreen III Fund Management, LLC
Gissas, Michael

Blackstone Wealth Solutions LLC - May 23 - August 4 - August 16
Hults, Matthew Craig - May 23 - August 4 - August 16
Kopman, Paul Brian - May 23 - August 4 - August 16

Burns, Thomas Zachary - September 18
Burns Capital Investments LLC

Clipper Capital Group LLC - May 2 - June 7
T&T Capital Partners LLC
Tavares, Steven Alan

Gagnon, Kara Leigh - March 9

Greenfield Financial Services, LLC - June 6

J.A.G. Capital, LLC - February 27
Bozzi, Joseph Richard

Laidlaw & Company (UK) Ltd. - January 23

Nexo Capital, Inc. - March 17

NYPPEX, LLC - July 3
Allen, Laurence Geoffrey

Parker Street Securities LLC - February 17

Parnassus Funds - June 29
Parnassus Income Funds (The)

Pratik KC a/k/a Pratik Chand KC - May 3

Robinhood Financial LLC - August 10

Safeguard Metals LLC - November 3
Ikahn, Jeffrey a/k/a Jeffrey S. Santulan a/k/a Jeff Hill

Terrascheduler LLC - May 8
Hamar, Richard Craig

Validea Capital Management LLC - October 19

Vend Tech International, Inc. - July 18

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.