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

Cooper Capital, Inc. - November 24
Cooper, Sara Katherine

Essex Financial Services, Inc. - November 23

Martinez-Ayme Financial - November 23
Group Incorporated
d/b/a Martinez-Ayme Securities
Rafal, John William - November 23

Southridge Real Estate Partners, Limited Partnership - November 23
Ridgebury Partners, LLC
Esposito, Douglas R.
Hicks, Stephen Murray

Portfolio Recovery Management Inc. - November 9

Practical Debt Relief Inc - November 9

Prospect Mortgage, LLC - November 19  (pdf file, 5.78 MB)

FFC Mortgage Corp. - October 30
d/b/a Compass Financial

Omega Financial Services, Inc. - October 30
d/b/a Omega Funding Capital

Bridgepoint Mortgage, LLC - October 28

Educational Funding Company, Inc. - October 28

Freedom Mortgage Corporation - October 28
d/b/a Freedom Mortgage Corporation (New Jersey)

Mortgage Solutions of Colorado, LLC - October 28
d/b/a Mortgage Solutions Financial
d/b/a Ag-America

Richard J. Boudreau & Associates, LLC - October 28

SKO-Brenner-American, Inc. - October 28

Top Flite Financial, Inc. - October 27

Rojo, Andres Dario - October 26
Acerbus, LLC
Red Advisors LLC
Domum Equity 1, Ltd
Domum Equity 2, Ltd

Settzo, Carolyn - October 16

Floridel, LLC-  October 15

United Obligations Limited Liability Company - October 15 

United Collections Recovery, LLC - October 9
Lockwood, Charles

MCM Holdings, Inc. - October 9
d/b/a MCM Holdings II, Inc.

Citigroup Global Markets Inc. - October 8

Another Level Capital Venture, Inc - October 7
d/b/a Quick Legal Solutions
Taylor, Michael
Quick Mortgage Solutions
Division of: Quick Legal Solutions

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