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


Carolina Financial Securities, LLC - March 2

Poppin Kettle Franchising, Inc. - February 27
Gregoris, Chris T.
Yofresh Yogurts Franchising, Inc.

K.C. Ward Financial, LLC - February 26

Pokorski, Rosemarie - February 26

Moniodes, Nicholas John - February 23

Meyers Associates, L.P. - February 13
Meyers, Bruce

Dena, Eric A. - February 6
Turnkey Investment Homes, Inc.
d/b/a Innovative Capital Solutions

The Purewal Law Group - February 4
A Professional Corporation
d/b/a Legal Network of America
Settlement Corporation of America

Rivercrest Credit Services - February 2


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