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


Syndicated Capital, Inc. - July 14

Moniodes, Nicholas John - July 9

Byl, Michael James - July 3

NCC Recovery, Inc. - July 3

Residential Mortgage Services Inc. - July 3
d/b/a Residential Mortgage Services

Approved Credit Solutions LLC - July 1

Great Western Financial Services, Inc. - July 1

Norwich Commercial Group, Inc. - July 1
d/b/a Norcom Mortgage
d/b/a Mortgage Force

Gutierrez, Javier - June 27
d/b/a Home Affordable Direct Inc

P&C Capital Group LLC - June 27

J.P. Morgan Securities LLC - June 25

S&S Health Group LLC - June 24
d/b/a Financial Link
Miller, Sean P.
De Navea, Stephen E.

New Milford Mortgage Company, LLC  -  June 18

CUSTOMIZED MORTGAGE SOLUTIONS, LLC - June 17

Poppin Kettle Franchising, Inc. - June 12
Gregoris, Chris T.
Yofresh Yogurts Franchising, Inc.

Imbruce, Gregory Richard - June 10
Hunton Oil Partners LP
Hunton Oil Genpar LLC
Giddings Oil & Gas LP
Giddings Genpar LLC
Asym Energy Fund III LP
Asym Capital III LLC

Chrysalis Funding of Connecticut, LLC - June 9

Morgan Stanley Smith Barney LLC - June 9


Search for Orders and Settlements

You may search for particular administrative orders and settlements posted on the Internet, archived to 2002.


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