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:

SWCD LLC a/k/a Campfire Capital - July 7

Parking Revenue Recovery Service, Inc. - July 1
a/k/a Parking Revenue Recovery Services, Inc.

Pierce, Ian Michael - June 26

Landmark Strategy Group, LLC - June 25

Systems & Services Technologies, Inc. - June 25
d/b/a SST

CFIG Investment Advisory Services, LLC - June 23

Healthcare Finance Direct, LLC - June 23

BAM Trading Services Inc. - June 18
d/b/a Binance.US

The Cheetah Fund LP - June 10
C.M. Allen Capital Management, Inc.
Allen, Craig Murfee

UNITED CAPITAL SERVICES CORPORATION - June 10

Doc2Doc Lending, Inc. - June 6 

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