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

Rockingham Capital Advisors LLC - May 16
Frew, Scott Little

Steffany, Paul Anthony - May 13

Falcon Funding LLC - May 2
Moxam, Deborah Ann
Williams, Ian M.

Harbor Vista Wealth Management LLC - April 22

Tricarico, Robert Neil - April 22
RNT Wealth Management LLC

Entertainment Only, LLC - April 20

Equity 4 U, Inc. - April 15

Quinstreet Media, Inc. - April 11

SMART Payment Plan, LLC - April 8

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