State of Connecticut Department of Banking

Small-owned Businesses: Join us for a “Meet the Bankers” event on Wednesday, May 8th at 5:30 p.m. at CT Community College Housatonic in Bridgeport. Click here for more information. Pequeñas empresas: Participe con nosotros en el evento “Conozca a los Banqueros” el miércoles 8 de mayo a las 5:30 p.m. en CT Community College Housatonic en Bridgeport. Presione aquí para más información.

Securities and Business Investments Division
2024 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.

Archer Micro Cap Value Fund, Limited Partnership - January 19 - February 26 - April 4
Artemis Capital Group L.L.C. - January 19 - February 26 - April 4

Arcview Capital, LLC - April 24

Burns Capital Investments LLC - April 3
Burns, Thomas Zachary

GlennCap LLC d/b/a Glenn Capital LLC - February 6
Glenn, Jonathan Vincent

Horang Securities, LLC - April 24

Keenan, LLC d/b/a Keenan Financial - March 8

Komarow Andrew M.  - January 31

Morse Investment Management Company, Inc. - February 28

Phillips & Company Securities Inc. - April 24

Radius Securities, LLC - April 24

Raymond James & Associates, Inc. - January 31
Raymond James Financial Services, Inc.

TradeStation Crypto, Inc. - January 18

True Bullion, LLC d/b/a GSI Exchange - February 23
Anderson, Anthony Allen

 

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.