Administrative Orders and Settlements
Please note: When viewing administrative orders posted on the Internet, please recognize that some orders may involve allegations that may be contested in a hearing and that are not yet resolved. Such administrative proceedings may, in the end, be resolved in favor of the firm or individual or they may be concluded through a negotiated settlement with no admission of wrongdoing. The documents posted on this website are not official copies. If an official copy is needed, please contact the agency. For more information on a particular order or settlement, you may contact the department via email or by calling (860) 240-8170. Read more about the department's enforcement of laws under its jurisdiction.
Recent Administrative Orders and Settlements:
Tyr Partners LP d/b/a Goodstead - November 28
Swigert, Robert Elbert
Anderson Accounting & Finance LLC - November 18
Anderson, Carl Benjamin Levi a/k/a Ben Anderson
Stifel, Nicolaus & Company, Inc. - November 18
ATG Credit, LLC - November 17
D & M Group, LLC - November 17
PSA Education, Inc.
Ding, Tieqiang
Fang, Hong
TD Ameritrade, Inc. - November 12
Lists of agency actions and settlements
- Consumer Credit - check cashers, collection agencies, debt adjusters, debt negotiators, mortgage lenders and loan brokers, mortgage servicers, money transmitters, mortgage originators, sales finance companies, small loan lenders and student loan servicers
- Financial Institutions - banks, bank officers and directors, credit unions
- Securities and Business Investments - agents of issuer, broker-dealers, broker-dealer agents, business opportunities, investment advisers, investment adviser agents, issuers, other respondents