DOB: Index - Administrative Orders and Settlements

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 Web site 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 E-mail or by calling (860) 240-8170.  

Read more about the department's enforcement of laws under its jurisdiction. 

 
Recent Administrative Orders
and Settlements

Hershman, Peter David - August 19

Rafal, John William - August 19

Omniview Capital Advisors, LLC - August 17
Discala, Abraxas J.

Silvermine Ventures, LLC  -  August 17
d/b/a Thoroughbred Mortgage LLC
d/b/a Thoroughbred Mortgage

American Capital Revitalization  -  August 15
Group a/k/a ifixcredit.org

Regional Home Mortgage, L.L.C.  -  August 15
d/b/a Regional Reverse Mortgage

USN Mortgage Inc  -  August 11

iServe Residential Lending, LLC  -  July 21

Vision Financial Corp  -  July 21

American Billing & Collections, Inc.  -  July 14

Preferred Law, PLLC  -  July 6

United Obligations  -  July 6
Limited Liability Company


Search for Orders and Settlements

You may search for particular administrative orders and settlements posted on the Internet, archived to 2006.


Lists of agency actions and settlements

Consumer Credit

Concerning: check cashers, collection agencies, debt adjusters, debt negotiators, mortgage lenders and loan brokers, money transmitters, mortgage originators, sales finance companies and small loan lenders

Financial Institutions

Concerning: banks, bank officers and directors, credit unions

Securities and Business Investments

Concerning: agents of issuer, broker-dealers, broker-dealer agents, business opportunities, investment advisers, investment adviser agents, issuers, other respondents