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

United Obligations  -  July 6
Limited Liability Company

E.L.S. Marketing Inc  -  June 28
a/k/a Evergreen Legal Service
a/k/a Evergreen Legal Service LLP

Smith, Irene E.  -  June 28
d/b/a Direct Loan Counseling
d/b/a Direct Loan Advisors
d/b/a California's Realty

Lightning Mortgage Inc.  -  June 27

Mid America Mortgage, Inc. - June 22
d/b/a 1st Tribal Lending

Bradford Financial, Incorporated - June 21

KASH MORTGAGE LLC - June 21

Regional Home Mortgage, L.L.C.  -  June 21
d/b/a Regional Reverse Mortgage

Silvermine Ventures, LLC  -  June 21
d/b/a Thoroughbred Mortgage LLC
d/b/a Thoroughbred Mortgage

USN Mortgage Inc  -  June 21

American Capital Revitalization Group - June 20
a/k/a ifixcredit.org

Preferred Investment Associates, Inc. - June 17

Vision Financial Corp - June 15

Falcon Funding LLC - May 2  -  June 8
Moxam, Deborah Ann
Williams, Ian M.

Benchmark Municipal Tax Services, Ltd. - May 27

MMS Mortgage Services, Ltd. - May 26

Sound Mortgage, LLC - May 26

Quinstreet Media, Inc. - May 24

Rockingham Capital Advisors LLC - May 16
Frew, Scott Little

Steffany, Paul Anthony - May 13


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