Ethics: General Statutes Violations Office of State Ethics Ethics: General Statutes Violations


Violations of the Codes of Ethics by Public Officials or Lobbyists


Docket No. 2017-28:  In the Matter of a Complaint against Raffaella Coler.   On  August 13, 2018, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84b (b), prohibiting state employees from using their state positions to obtain personal financial gain.   Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $250.

Docket No. 2018-02:  In the Matter of a Complaint against Ryan O'Hara.   On  June 7, 2018, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84b (b), prohibiting a former state employee from being paid to represent anyone other than the state before his former agency, within one year after departure from state service.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000. 

Docket No. 2017-33:  In the Matter of a Complaint against Arlindo Almeida.   On  March 19, 2018, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $750.

Docket No. 2017-12:  In the Matter of a Complaint against Frank Farricker.   On  October 12, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $5,000, and restitution to the state in the amount of $6,318.19.

Docket No. 2016-37:  In the Matter of a Complaint against James Mindek.   On  September 5, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Respondent violated the Code of Ethics when he used his state position in the hiring of his son for a temporary consulting position.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000.

Docket No. 2016-44:  In the Matter of a Complaint against Stephen Keller.   On  August 28, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.   Respondent violated the Code of Ethics when he used state resources to perform tasks related to his paid outside consulting firm.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $1,000.

Docket No. 2016-50:  In the Matter of a Complaint against Philip Cohen.   On  June 29, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84b (b), prohibiting a former state employee from being paid to represent anyone other than the state before his former agency, within one year after departure from state service.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000. 

Docket No. 2016-10:  In the Matter of a Complaint against Leonard Lev.   On February 8, 2017, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.  The complaint alleged that from December 2014 through December 2015, Respondent utilized state resources, including his state-issued computer and other state resources, in order to conduct his private business.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,500. 


Docket No. 2014-32:  In the Matter of a Complaint against David Audibert.   On April 5, 2016, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations of violations of CGS §§ 1-84b (a), 1-84b (b), and 1-84b (f), prohibiting certain activities after leaving state service.  Respondent also violated §1-84 (c) which prohibits a state employee from using his position to obtain financial gain for himself; § 1-86 (a), the potential conflict-of-interest provision; and §§ 1-83 (a)(1) and (b)(1), relating to the filing of an accurate statement of financial interests. Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $16,000.  


Docket No. 2015-15: In the Matter of a Complaint against Dennis King.  On February 9, 2016, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that the Respondent violated CGS §1-84b (b) when he appeared before his former state agency on behalf of a private client within one year after departure from the agency.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $1,500. 


Docket No. 2015-02:  In the Matter of a Complaint against David Tassavor.   On June 3, 2016, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent solicited state contractors for a job for his son, in violation of CGS § 1-84 (c).  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000. 


Docket No. 2015-42:  In the Matter of a Complaint against Jason Rawlinitis.  On December 4, 2015, the OSE and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, within a year after leaving his state position at the Department of Corrections, improperly appeared before his former agency on behalf of his new employer concerning a matter in which the State had a substantial interest, in violation of CGS § 1-84b (b).  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $1,500. 

    

Docket No. 2015-1: In the Matter of a Complaint against Jeffrey Gottlieb. On September 2, 2015, the OSE and Respondent entered into a Consent Order, settling allegations that Respondent utilized state resources, including his state-issued computer, in order to process administrative paperwork for his private employer, in violation of CGS § 1-84 (c).  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $1,500.  


Docket No. 2014-43:  In the Matter of a Complaint against Amisha Desai.   On June 29, 2015, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent utilized state resources, including her state-issued computer, state-provided e-mail account and state phone, in order to conduct her private businesses - including restaurants, a liquor store, and a hotel - In violation of CGS §1-84 (c).  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $3,000.   


Docket No. 2014-39:  In the Matter of a Complaint against Thomas Tracey.   On July 6, 2015, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations of violations of CGS §§1-84 (c) and 1-84 (p)(2) that arose when the Responded assisted James Liss (the Respondent in Docket No. 2014-21) in selling scrap metal owned by the state for personal profit.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $250.   


Docket No. 2014-21:  In the Matter of a Complaint against James Liss.   On June 18, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS §1-84 (c), which prohibits a state employee from using his position to obtain financial gain for himself.  Respondent also violated CGS § 1-84 (q), which provides that no state employee shall intentionally counsel, authorize or otherwise sanction action that violates the Code.  Respondent violated the use-of-office provisions by using his access to state gasoline for personal use, directing subordinates to gather scrap metal belonging to the state, among other violations.  Under the terms of the Consent Order, Respondent agreed to pay a civil penalty of $5,500.   


Docket No. 2014-19:  In the Matter of a Complaint against Robert Silverberg.  On January 22, 2015 the OSE entered into a Stipulation and Consent Order, settling allegations of violations of CGS § 1-97 (b).  Robert Silverberg, the managing partner and sole member of Morris|London, LLC, a domestic limited liability company entered into a lobbying contract that contained contingency fees.  The Citizen's Ethics Advisory Board imposed a penalty of $10,000, which was suspended conditioned upon Respondent’s compliance with eight separate injunctive terms lasting between five and ten years. 

 

Docket No. 2014-10:  In the Matter of a Complaint against Jason Spann.   On January 26, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c).  Under this section of the Code, a public official or state employee is prohibited from using their state position to obtain personal financial gain.  The complaint alleged that Respondent utilized state resources, including his state-issued computer and state-provided e-mail account, in order to conduct his private clinical services business.  He also used another state employee to perform tasks related to his private practice, while using state resources and on state time.  Under the terms of the Consent Order, Respondent agreed to pay a civil penalty of $3,500.   


Docket No. 2014-08:  In the Matter of a Complaint against Manuel Rosales.   On October 21, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c), prohibiting state employees from using their state positions to obtain personal financial gain.  The complaint alleged that from 2010 through 2014, Respondent utilized state resources, including his state-issued computer and state-provided e-mail account, in order to conduct his private business.  He also violated CGS §1-84 (b) which prohibits a public official or state employees from accepting outside employment that will impair his independence of judgment as to his official duties or employment.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $5,000, ($3,500 for his violations of § 1-84 (c) and $1,500 for his violations of § 1-84 (b)). 


Docket No. 2014-07:  In the Matter of a Complaint against Ralph Ford.   On July 6, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c).  Under this section of the Code, a public official or state employee is prohibited from using his or her state position to obtain personal financial gain.  The complaint alleged that from 2010 through 2014, Respondent utilized state resources, including his state-issued computer and state-provided e-mail account, in order to operate his private clinical practice.  He also violated §1-84 (b) which prohibits a state employee from accepting outside employment that will impair his independence of judgment as to his official duties or employment.  Under the terms of the Stipulation and Consent Order, Respondent agreed to pay a civil penalty of $15,000, and agreed to not enter into any contracts with the State of Connecticut to provide psychological evaluations or treatment for a period of six months from the date of the Order. 

 

Docket No. 2014-06:  In the Matter of a Complaint against Craig J. Lubitski Consulting LLC.   On April 10, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-86e (b).  Under this section of the Code, a state contractor is prevented from using confidential information gained in the performance of the contract for its own financial gain.  The Citizen's Ethics Advisory Board imposed a penalty of $10,000.

 

Docket No. 2014-02:  In the Matter of a Complaint against Sandy Breslin.   On September 18, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS §§ 1-94, 1-95 and 1-96.  The complaint alleged that Respondent failed to register with the OSE prior to engaging in lobbying in 2013, and also failed to timely file a 2013 disclosure of income.  Under the terms of the settlement Respondent paid a civil penalty of $2,300. 

 

Docket No. 2013-53:  In the Matter of a Complaint against Mary Keating.   On March 5, 2015, the OSE and Respondent entered into a Consent Order, settling allegations of violations of CGS § 1-84 (b).  Under this section of the Code, a public official or state employee is prohibited from accepting other employment that impairs her independence of judgment as to her state duties.  Under the terms of the Consent Order, Respondent agreed to pay a civil penalty of $500.

 

Docket No. 2013-34:  In the Matter of a Complaint against Eldon G. Porter.   On September 3, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c).  The complaint alleged that Respondent, an analyst and Policy and Research Specialist for Access Health CT, used his state position to attempt to obtain financial gain for himself from a state contractor.  Under the terms of the settlement Respondent paid a civil penalty of $600.

 

Docket No. 2013-24:  In the Matter of a Complaint against Pfizer, Inc. (“Pfizer”) the OSE entered into a Consent Order, settling allegations of violations of  CGS § 1-96 (a)(e). Pfizer, a client lobbyist registrant, violated the Code of Ethics when it failed to report expenses associated with a lobbying reception it hosted during the 2012 Democratic National Convention.  Under the terms of the settlement Pfizer paid a civil penalty of $5,000.


Docket No. 2013-23:  In the Matter of a Complaint against Diageo North America, Inc. (“Diageo”) the OSE entered into a Consent Order, settling allegations of violations of  CGS §§ 1-96 (a)(e) and 1-97(d).  Diageo, a client lobbyist registrant, violated the Code of Ethics when it failed to report expenses associated with a lobbying reception it hosted during the 2012 Democratic National Convention and failed to provide proper notification to attendees. Under the terms of the settlement Diageo paid a civil penalty of $5,000.


Docket No. 2013-21 / 2013-22:  In the Matter of a Complaint against CPV Towantic, LLC (“Towantic”) and CPV Danbury.  On October 23, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS §§ 1-96 (a) and (e) and 1-97(d). Towantic and CPV Danbury, client lobbyist registrants, violated the Code of Ethics when they failed to report expenses associated with a lobbying reception it hosted during the 2012 Democratic National Convention and failed to provide proper notification to attendees.  Additionally, Towantic violated § 1-95 (a) which requires registration every two years or prior to commencement of lobbying, whichever comes first.  Under the terms of the settlement Towantic and CPV Danbury paid an aggregate civil penalty of $5,230. 

 

Docket Number 2013-20:  In the Matter of a Complaint against Boehringer Ingelheim Pharmaceuticals, Inc., (“Boehringer”).  On October 23, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS §§ 1-96 (a) and (e) and 1-97(d). Boehringer, a client lobbyist registrant, violated the Code of Ethics when it failed to report expenses associated with a lobbying reception it hosted during the 2012 Democratic National Convention and failed to provide proper notification to attendees. Under the terms of the settlement Boehringer paid a civil penalty of $5,000.


Docket Number 2013-19:  In the Matter of a Complaint against United Healthcare Services Inc., (“UHS”). On October 23, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS §§ 1-96 (a) and (e).  UHS, a client lobbyist registrant, violated the Code of Ethics when it failed to report expenses associated with a lobbying reception it hosted during the 2012 Democratic National Convention.  Under the terms of the settlement UHS paid a civil penalty of $5,000.

 

Docket No. 2013-1:  In the Matter of a Complaint against Darlene West.  On July 30, 2013, the OSE entered into a Stipulation and Consent Order with Respondent, Darlene West for violations of CGS § 1-84 (c).  The Complaint alleged that Respondent, an insurance examiner at the Office of the Healthcare Advocate, violated the Code of Ethics when she used state resources to facilitate business transactions related to her private real estate business.  Under the terms of the settlement, Respondent paid a civil penalty of $500.

 

Docket No. 2012-60:  In the Matter of a Complaint against Rosa Bailey.  On March 17, 2014, the OSE entered into a Stipulation and Consent Order with Respondent, Rosa Bailey for violations of CGS § 1-84 (c).  The Complaint alleged that Respondent, a former employee of the Department of Energy and Environmental Protection, violated the Code of Ethics when she used state resources to facilitate business transactions related to her private jewelry and candle business.  Under the terms of the settlement, Respondent paid a civil penalty of $250.

 

Docket No. 2012-45:  In the Matter of a Complaint against Lucille Dellamarggio.   On September 18, 2014 the OSE entered into a Consent Order, settling allegations of violations of CGS § 1-84 (c).  Under this section of the Code, a public official or state employee is prohibited from using her state position to obtain personal financial gain.  The complaint alleged that, beginning July 2008 and lasting until March 2012, Respondent misappropriated mental health client funds over which she had custody and control.   Under the terms of the settlement Respondent paid a civil penalty of $4,750.

 

Docket No. 2012-36: In the Matter of a Complaint against David Levinson.  On April 17, 2014, the OSE entered into a Consent Order with Respondent, David Levinson, settling allegations of violations of  CGS §§ 1-84 (c) and 1-86 (a). The Complaint alleged that Respondent, President of Norwalk Community College, violated the Code of Ethics when he authorized the use of state funds to pay for his wife’s attendance and/or registration at four events in 2010.    Under the terms of the settlement, Respondent paid a civil penalty of $3,000: $1,000 for violating § 1-84 (c) of and $2,000 for violating § 1-86 (a).

 

Docket No. 2012-26:  In the Matter of a Complaint against Roger Thomas.  On June 18, 2013, the OSE entered into a Stipulation and Consent Order with Respondent for violations of CGS § 1-86 (a).  The Complaint alleged that Respondent, an employee at of the Department of Transportation, failed to inform his superiors or the OSE when he was faced with a conflict of interest involving the hiring of his son by a contractor over which he had administrative oversight. Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,500.

 

Docket No. 2011-80:  In the Matter of a Complaint against Kermit Thompson.  On December 19, 2012, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent had represented a private party for compensation before his former agency within a year of leaving state service, in violation of § 1-84b (b).  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,000.

 

Docket No. 2011-69:  In the Matter of a Complaint against John Tricarico.  Following a hearing pursuant to CGS § 1-82 in September 2012, the Citizen’s Ethics Advisory Board found that Respondent violated § 1-86e, which prohibits state contractors from using a state contract to enhance their own personal financial gain.  Respondent was ordered by the Board to pay a civil penalty of $10,000.

 

Docket No. 2011-60:  In the Matter of a Complaint against Cira Romann.  On September 12, 2012, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent, an employee of the Commission on Human Rights and Opportunities (CHRO) violated § 1-84 (q) by “counseling, authorizing and/or sanctioning” a former employee to violate the Code by (1) encouraging the former state employee to represent an individual with a pending CHRO action by introducing them; (2) providing the former state employee with confidential information regarding the CHRO matter in which the former state employee represented the individual; and (3) providing the former state employee with updates regarding the CHRO’s strategy with respect to the matter in which the former state employee represented the individual.  Respondent was penalized $6000 for her conduct, $4000 of which was suspended by the CEAB. 

   

Docket No. 2011-57:  In the Matter of a Complaint against Tucker McWeeney.  On September 21, 2012, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a former employee of the Commission on Human Rights and Opportunities (CHRO) violated § 1-84b (b) for representing someone for compensation before his former agency within a year of his departure from CHRO.  Respondent paid a penalty of $2,500 in resolution of the matter.  

 

Docket No. 2011-23:  In the Matter of a Complaint against Jon Green.  On November 17, 2011, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, as the Executive Director for a registered lobbyist, engaged in lobbying without registering with the OSE, in violation of CGS §§ 1-94.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $10,000.

   

Docket No. 2010-69:  In the Matter of a Complaint against Tara Bateman.  On April 26, 2011, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c), by overcharging for monitoring services.   Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse a member of the public the amount of $1,337, the amount of the overcharge.

   

Docket No. 2010-63:  In the Matter of a Complaint against James Birch.  On January 17, 2012, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a part-time employee as a University Assistant at Western Connecticut State University (“WCSU”) violated CGS § 1-84 (i) by entering into several independent service contracts with individual departments at the University to tune and service those departments’ pianos, without an open and public bid process.  Under the terms of the Settlement, the OSE ordered Respondent to pay a civil penalty of $110 for his violations CGS § 1-84 (i).

 

Docket No. 2010-62:  In the Matter of a Complaint against Donald Stitt.  On April 26, 2011, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, who is married to a full-time faculty member of the Theatre Arts Department at Western Connecticut State University (“WCSU”,) violated CGS § 1-84 (i) by entering into contracts in July 2009 and 2010 for services to run workshops for the Master’s in Fine Arts program, without an open and public bid process.  Under the terms of the Settlement, the OSE ordered Respondent to pay a civil penalty of $400 for his violations CGS §1-84 (i).


Docket No. 2010-56:  In the Matter of a Complaint against Anthony Lewis.  On December 23, 2011, the Ethics Enforcement Officer of the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, who is a Human Resources manager at the Connecticut Military Department, used the state-owned gymnasium at the Manchester Armory, for his own (and his family’s) personal use on multiple occasions in 2008 and 2009 without paying the required fees.  Under the terms of the Settlement, the OSE ordered Respondent to pay $450 in penalties for his violations of CGS §1-84 (c).    


Docket No. 2010-50:  In the Matter of a Complaint against Margaret Hooper.  On November 2, 2010, the Ethics Enforcement Officer of the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Planning Branch Chief at the Department of Public Health (“DPH”), used her state position for financial gain when she requested DPH personnel to perform a laboratory test on her behalf of a substance she obtained in her personal capacity and unrelated to any legitimate work purpose, in violation of CGS § 1-84 (c).  Under the terms of the Settlement, the OSE ordered Respondent to pay $500 in penalties and $250 in damages, the amount of her financial advantage she received for the violation. 


Docket No.  2010-45:  In the Matter of a Complaint against MaryAnn Douglas.  On November 2, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a state marshal who was required to file a Statement of Financial Interests for the years 2008 and 2009, did not fully and completely reflect the income she received in her capacity as state marshal, as required by CGS § 1-83 (a) and Regulations of Connecticut State Agencies § 1-82-12 and 1-81-13.  Under the terms of the settlement, Respondent admitted to the violations and agreed to pay a civil penalty of $1,791 and to henceforth file accurate SFIs.

 

Docket No. 2010-31:  In the Matter of a Complaint against Curtis Harmon.  On July 18, 2012, the Ethics Enforcement Officer of the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, an Advanced Nurse Practitioner employed by the Department of Children and Families violated CGS § 1-84 (b) by accepting other employment that impaired his independence of judgment as to his official state duties and or induced him to disclose confidential information acquired by him in the course of his state employment.  Under the terms of the Settlement, the OSE ordered Respondent to pay a civil penalty of $2,500 for his violations CGS § 1-84 (b).     


Docket No. 2010-30:  In the Matter of a Complaint against Terrence Backer.  On November 9, 2012, the OSE and Respondent entered into a Stipulation and Consent Order.  The Complaint alleged that Respondent, a State Representative, violated CGS 1-84 (d) by appearing before the Department of Environmental Protection on behalf of a private client.  § 1-84 (d) prohibits public officials from appearing before certain agencies on behalf of private clients while employed by the state.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500 for his violation.           


Docket No. 2010-23:  In the Matter of a Complaint against G. Kenneth Bernhard.  On May 27, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while serving as a member of the Citizen’s Ethics Advisory Board, violated CGS § 1-80 (i) by making three political contributions in the total amount of $250 to individuals who ran for state office in Connecticut.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $3,500.  This matter was investigated by Special Ethics Enforcement Officer Jill Hartley.     


Docket No. 2010-16:  In the Matter of a Complaint against Michael J. Fago.  An amended Complaint, filed by the Ethics Enforcement Officer of the OSE , alleged that Respondent violated CGS § 1-82a on more than one occasion,  by disclosing the existence of two confidential complaints he had previously filed with the OSE, but which complaints were dismissed for lack of probable cause.  The matter was dismissed as moot following the receipt of waivers of confidentiality from the individuals against whom Mr. Fago filed ethics complaints.  Mr. Fago waived his rights to confidentiality and the file was made part of the public record.

 

Docket No. 2010-08: In the Matter of a Complaint against Jeffrey Reynolds.  On November 29, 2010 the OSE and Respondent entered into a Consent Order, resolving allegations that Respondent, while serving as the Director of Capitol Projects and Contract Administration at UConn, used state funds for twenty three hotel stays, and associated expenses at a local hotel.   Under the terms of the settlement, Respondent agreed to pay a civil penalty of $4,000 to settle allegations that he used his state position for financial gain, in violation of Connecticut CGS §1-84 (c).   

 

Docket No. 2009-75:  In the Matter of a Complaint against David G. Carter.  On April 20, 2011, the OSE entered into a Stipulation and Consent Order with Respondent, resolving allegations that Respondent, former Chancellor of the Connecticut State University System, failed to inform his superiors or the OSE when he was faced with a conflict of interest involving the hiring of his spouse, a former Dean at one of the state universities, into a temporary contract following her retirement.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,000.

 

Docket No.  2009-70:  In the Matter of a Complaint against Jurg Lanzrein. On August 19, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent, while an employee of Western Connecticut State University (“WCSU”), violated CGS § 1-84 (i) by entering into two contracts with WCSU without an open and public bid process, and violated § 1-84 (c) by receiving a financial advantage from these contracts in the total amount of $165.  Respondent admitted to the violations.  Under the terms of the settlement, the OSE ordered Respondent to pay a civil penalty of $500 for his violations of CGS § 1-84 (c) and (i), and to disgorge the $165 financial gain, for a total of $665. 


Docket No. 2009-68:  In the Matter of a Complaint against Ray Bouchard.  A complaint filed by a member of the public alleged that Respondent violated the Code of Ethics by allegedly failing to take action in response to another’s alleged violation of the Code of Ethics.  Following investigation, the OSE determined that there was insufficient evidence to establish probable cause to believe that Respondent violated the Code of Ethics as alleged.  The complaint was dismissed.  Subsequently, Respondent waived his right to confidentiality and the file was made a part of public record.

 

Docket No. 2009-67:  In the Matter of a Complaint against Peter Agnesi.  Following investigation, the OSE determined that there was insufficient evidence to establish probable cause to believe that Respondent violated the Code of Ethics for Public Officials as alleged.  The Complaint, filed by a member of the public, alleged that Respondent abused his state position by purchasing a fire truck for $60,000 more than another bid from a former subordinate who was subsequently hired by Respondent as on-campus police officer, limiting the recruitment advertisement process.  The Complaint was dismissed by the OSE.  Subsequently, Respondent waived his right to confidentiality and the file was made a part of public record. 

 

Docket No. 2009-46:  In the Matter of a Complaint against Gary Kasey.  On March 3, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, an education consultant hired by the Department of Children and families, knowingly provided gifts, on two occasions, to state employees of the Court Support Services Division of the Office of Juvenile Probation, a department or agency with whom Respondent conducted businesses and/or sought to conduct business.  Respondent admitted to the violations.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $900 for his violation of CGS § 1-84 (m).

 

Docket No. 2009-14:  In the Matter of a Complaint against Maritime Professional Advisors, LLC.  On February 26, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent violated CGS § 1-94 by engaging in lobbying without registering with the OSE.  The Complaint also alleged that Respondent failed to file the periodic financial reports in relation to such lobbying in violation of CGS § 1-96 (b). Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000.  


Docket No. 2009-11:  In the Matter of a Complaint against Senator Paul R. Doyle.  A Complaint filed by Chris Healy, member of the public, alleged that Respondent, a state senator who, in his private capacity, also provided legal services to Connecticut Resources Recovery Authority (“CRRA”), delayed receipt of payment for legal services from the CRRA in late 2007 in order to avoid exceeding the threshold amount that would have prohibited Respondent, as a state contractor, from legally contributing to any political campaigns.  The Complaint alleged that Respondent’s actions constituted (1) a financial interest which is in substantial conflict with the proper discharge of his duties as a state senator, in violation of CGS § 1-84 (a); (2) an acceptance of outside employment that impaired his independence of judgment as to his official duties or employment in violation of § 1-84 (b); and (3), a use of his public office or position for financial gain in violation of CGS § 1-84 (c).  Following an investigation, the Ethics Enforcement Officer of the OSE determined that there was insufficient evidence to establish probable cause to believe that Respondent violated the Code of Ethics.  The Complaint was dismissed.  Subsequently, Respondent waived his right to confidentiality and the file was made a part of the public record. 

 

Docket No. 2009-6: In the Matter of a Complaint against Albenie Gagnon.  On November 11, 2009, The OSE and Respondent entered into a Stipulation and Consent Order, settling allegations that Respondent, a state marshal had failed to file an accurate Statement of Financial Interests for Marshals for the calendar year 2007, thereby violating CGS  §1-83 and Regulations of Connecticut State Agencies § 1-82-12(a).  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $917.85. 

 

Docket No. 2008-51: In the Matter of a Complaint against Deidre Clement.  On December 21, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c) by charging for services in excess of state pricing rules.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse a member of the public the amount of $528, the amount of the overcharge.


Docket No. 2008-50: In the Matter of a Complaint against Carrie Parker.  On October 30, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c) by charging for services in excess of state pricing rules.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse a member of the public the amount of $307.75, the amount of the overcharge.  


Docket No. 2008-49:  In the Matter of a Complaint against Sharon Haas.  On December 21, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c) by charging for services in excess of state pricing rules.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse a member of the public the amount of $371.25, the amount of the overcharge.    


Docket No. 2008-48:  In the Matter of a Complaint against Kathy Jordan.  On December 21, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c) by charging for services in excess of state pricing rules.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse the member of the public the amount of $207.75, the amount of the overcharge.

   

Docket No. 2008-47:  In the Matter of a Complaint against Mary Fjelldal.  On December 21, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a Court Monitor for the Connecticut Judicial Department, used her state position for financial gain for herself in violation of CGS § 1-84 (c) by charging for services in excess of state pricing rules.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500, and to reimburse a member of the public the amount of $212.50, the amount of the overcharge.

 

Docket No. 2008-38:  In the Matter of a Complaint against Philip Jacobs.  On December 17, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a bail bondsman, provided cash gifts, loans and other items of value to state employees in exchange for, in consideration of, or as a reward for, assistance in providing referrals and information regarding bonds, and based on the understanding that the state employee’s official action or judgment would be or had been influenced thereby, in violation of CGS § 1-84 (f).   Under the terms of the settlement, Respondent agreed to pay a civil penalty in the amount of $2,500, and, for two years following the execution of the Consent Order, Respondent may not to seek or enter into employment with the state of Connecticut, accept work as a bail bondsman in the state of Connecticut, or enter into or seek any contract for services with the state of Connecticut.

 

Docket No. 2008-36: In the Matter of a Complaint against Robert Jacobs.  On November 30, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a bail bondsman, provided cash gifts, loans and other items of value to state employees in exchange for, in consideration of, or as a reward for, assistance in providing referrals and information regarding bonds, and based on the understanding that the state employee’s official action or judgment would be or had been influenced thereby, in violation of CGS § 1-84 (f).   Under the terms of the settlement, Respondent agreed to pay a civil penalty in the amount of $2,500, and, for two years following the execution of the Consent Order, Respondent may not to seek or enter into employment with the state of Connecticut, accept work as a bail bondsman in the state of Connecticut, or enter into or seek any contract for services with the state of Connecticut.

  

Docket No. 2008-35:  In the Matter of a Complaint against James Barone.  On June 2, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while an employee of the Department of Corrections, violated CGS § 1-84 (c) by using confidential information acquired in the course of his official duties and/or used his state position for financial gain.  Under the terms of the settlement, Respondent admitted to the violation and was ordered to pay a civil penalty in the amount of $500, not to seek employment or enter into a contract with the state for a period of two years, or enter into or seek a contract for state services for the same period. 


Docket No. 2008-31:  In the Matter of a Complaint against Matthew Gallagher. On April 5, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while an Associate Professor at Norwalk Community College, used state equipment and resources to establish and run an internet store, and used the College’s mail system to send and receive goods bought and sold through the store.  The Complaint also alleged that among the items sold in Gallagher’s store were books and videos he had used for his classes but for which he had already been reimbursed by the College, in violation of CGS § 1-84 (c).  Under the terms of the settlement, the OSE ordered Respondent to pay a civil penalty of $1,000.   


Docket No. 2008-25:  In the Matter of a Complaint against Maureen Duggan.  On January 20, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while serving as an employee of the former State Ethics Commission, violated CGS § 1-80 (h)(2) by failing to  conduct herself in a manner which promotes the integrity and impartiality of the Commission.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $1,000.    


Docket No. 2008-23:  In the Matter of a Complaint against Cynthia McClendon. On April 7, 2010, Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a former administrative assistant for the Connecticut Public Defender’s Office in New Haven, provided information from state files to a bail bondsman in exchange for gifts and cash of at least $500.  Respondent violated CGS §1-84 (c) by using her office for financial gain, and CGS § 1-84 (g) by accepting a thing of value based on the understanding that her official action or judgment had been influenced thereby.  Under the terms of the settlement, the OSE ordered Respondent to pay a civil penalty of $1,500.  In addition, under the Order, Respondent is prohibited from seeking or accepting state contracts or state employment for two years and, should Respondent become a state employee in the future, Respondent is required to file Statement of Financial Interests with the OSE. 


Docket No. 2008-21:  In the Matter of a Complaint against Lawrence M. Hurley.  On March 1, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, an Assistant State’s Attorney, used his access to funds that were intended either to provide restitution to victims of crime or as charitable donations and diverted those funds for his own personal use.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,000, and not to enter into, or seek, a state contract for service for a period of two years following the date of the execution of the Consent Order.    


Docket No. 2008-9:  In the Matter of a Complaint against James Sward.  On March 10, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while a Public Defender for the Bristol Superior Court, used his access to funds paid by criminal defendants that were intended to provide restitution to victims of crime, and diverted those funds for his own personal use, in violation of CGS §1-84 (c).  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $3,000, and to not seek state employment or enter into any state contract for a period of two years following the date of the execution of the Consent Order. 


Docket No. 2008-8:  In the Matter of a Complaint against CORE Associates, LLC.  On June 2, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent violated CGS § 1-86e (1) by entering into a contract with the state to evaluate a program at a state-funded agency with which it simultaneously held a contract, therefore creating a conflict of interest.  Respondent denied any violation of the Code of Ethics.  Under the terms of the settlement, the OSE ordered and Respondent agreed to pay a civil penalty in the amount of $2,500.    


Docket No. 2007-60:  In the Matter of a Complaint against Jill D’Antona.  On October 21, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a former judicial marshal at the New Haven Courthouse, used her state position to obtain financial gain for herself, in violation of CGS § 1-84 (c), and accepted gifts in the form of cash from bail bondsmen based on the understanding that her official actions would be or had been influenced thereby, in violation of CGS § 1-84 (g).  Under the terms of the Settlement, the OSE ordered Respondent to pay a civil penalty of $600.  In addition, the settlement prohibits Respondent from seeking or entering into employment or any contract for services with the state of Connecticut for two (2) years following the execution of this agreement, and, should Respondent become a state employee, Respondent shall be required to file a Statement of Financial Interests with the OSE for each year in which she serves as a state employee.  


Docket No. 2007-56:  In the Matter of a Complaint against Pamela Fritz.  On November 7, 2008, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, as a Community Training Home Monitor for the Department of Developmental Services (formerly the Department of Mental Retardation), used her state position for financial gain for her spouse and/or business with which she was associated, in violation of CGS § 1-84 (c).  Under the terms of the settlement, Respondent was ordered to pay damages to the State in the amount of her financial gain of $228.64, and a civil penalty of $2,000.


Docket No. 2007-53:  In the Matter of a Complaint against George V. Lawler, Jr.   On January 6, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while acting under the authority of a state contract as a court committee in a foreclosure proceeding, used his state position to obtain financial gain for himself or a member of his immediate family by referring real estate business to his spouse in violation of CGS § 1-86e (a)(1).    Under the terms of the settlement, agreed not to accept any contract with any state agency or department until on or after October 1, 2009; and to pay a civil penalty of $2,500.    


Docket No. 2007-40:  In the Matter of a Complaint against Nancy LaGuardia.  On June 23, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while a professor at the Capital Community College (“CCC”), violated CGS § 1-84 (b) by accepting outside employment that impaired her independence of judgment as to her official capacities.  Under the terms of the settlement, the OSE ordered Respondent to pay a civil penalty of $2,500.    


Docket No. 2007-39:  In the Matter of a Complaint against Daniel Cunningham.  On February 17, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while an employee for the Norwalk Community College (“NCC”) violated CGS § 1-84 (i) by entering into a contract with NCC without an open and public bid process, and violated § 1-84 (b) by accepting outside employment that impaired his independence of judgment as to his official duties as state employee.  The OSE ordered Respondent to pay a civil penalty of $500 per violation, for a total of $1,000.    


Docket No. 2007-24:  In the matter of a Complaint against Priscilla Dickman.  In January 2010, following a multi-day hearing, the Citizen’s Ethics Advisory Board held that Respondent, while a University of Connecticut Health Center (“UCHC”) employee, violated CGS § 1-84 (c) by using state resources and equipment to run a jewelry business and travel agency from her state desk during work hours, in violation of § 1-84 (c).  The Board ordered Respondent to pay a civil penalty of $10,000 for her misuse of office with respect to the jewelry business, and a $5,000 penalty for her misuse of office with respect to the travel consulting business.   Pursuant to CGS § 1-88 (d), the matter was then referred to the Connecticut Attorney General’s Office to obtain recovery of the financial advantage gained by Respondent through her violations of the Code.    


Respondent appealed the Board’s decision to the Hartford Superior Court which, following a hearing, dismissed the appeal.  Dickman v. Office of State Ethics et al., CV-10-6003844S (J.D., Hartford, August 31, 2011).”  The dismissal was upheld by the Court of Appeals. 140 Conn.App. 754 (2013).  The Supreme Court denied certification. 308 Conn. 934 (2013).    


Docket No. 2007-22: In the Matter of a Complaint against Robyn Danahy. On November 26, 2007, the OSE and Respondent entered into a Consent Order, resolving allegations that Respondent, a former employee of the University of Connecticut Athletics Department, had sought employment from a contractor of the university, and did not disclose this fact when she participated on the selection committee that was considering renewing the contract.  Under the Consent Order, Respondent paid a $5,000 civil penalty. 


Docket No. 2007-21: In the Matter of a Complaint against Warren Godbolt.  On February 8, 2010, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, a former executive director of a nonprofit job training agency, violated CGS § 1-84 (f) by giving money to then state senator Ernest E. Newton II, based on the understanding that Newton would assist Respondent in securing bond monies for his agency.  Under the terms of the settlement, Respondent admitted to the violation and agreed to pay a civil penalty of $1,000.  In addition, Respondent is prohibited from seeking or entering into employment with the state of Connecticut for two years following the execution of the Consent Order, and is required to provide written notice to the OSE should he, or a business with which he is associated, accepts, enters into, applies for, or substantially participates in the completion of any state contract prior to January 1, 2012. 


Docket No. 2007-19:  In the Matter of a Complaint against James Martin.  On March 26, 2009, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent violated a revolving-door provision of the Ethics Code by accepting employment with a state contractor with which he interacted as a state employee.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $6,000 and, for two years from the date of the settlement, may neither engage in lobbying in Connecticut nor act as the architect of record on any state contract. 


Docket No. 2007-16:  In the Matter of a Complaint against Ernest E. Newton II.  On March 1, 2011, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent solicited and accepted $5,000 from a non-profit organization in exchange for his official action as state senator, in violation of CGS 1-84 (g), and failed to disclosed this income on his Statement of Financial Interests in violation of CGS sections 1-83 (a) (1) and 1-83 (b) (1).  Pursuant to the terms of the settlement, Respondent is prohibited from holding state employment, or seeking or holding a state contract, for six months following the execution of the Stipulation and Consent Order.  In addition, should Respondent accept state employment in the future, he is ordered to file a Statement of Financial Interests with the OSE.  Respondent previously pleaded guilty in federal court for receiving the bribe, for which he was imprisoned and paid a substantial fine.  


Docket No. 2007-13:  In the matter of a Complaint against Louis C. DeLuca.  On November 17, 2008, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while a state Senator holding the position of Minority Leader, violated General Statues §1-84 (j) by soliciting and accepting a gift in the form of proposed services from a person who was acting on behalf of a registered lobbyist.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,500. 


Docket No. 2007-12: In the Matter of a Complaint against Tracey Weeks.  On March 26, 2008, the Commission and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent failed to file an accurate Statement of Financial Interests (“SFI”) for the years 2004 and 2005, thereby violating  CGS §§1-83 (a)(1) and 1-83 (b)(1), and also failed to recuse herself and file a disclosure statement pursuant to  CGS §1-86 regarding a potential conflict of interest wherein she took official action which was likely to affect the financial interest of her spouse.   Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $6,530.


Docket No. 2007-10:  In the Matter of a Complaint against Theodore Wojtusik. On June 19, 2008, the OSE and Respondent, a retired Trooper for the Connecticut State Police, entered into a Stipulation and Consent, resolving allegations that Respondent submitted time cards on multiple occasions that did not accurately reflect the overtime hours that he had actually worked, and as a result, Respondent received money to which he was not entitled, in violation of CGS § 1-84 (c).  Under the terms of the settlement, Respondent agreed to pay $6,000.  Respondent had previously retired from state service, and reimbursed the state $7,968.13.


Docket No. 2007-9:  In the Matter of a Complaint against Reginald F. Allard, Jr.  On April 8, 2008, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while a state employee and training officer at the Police Officer Standard and Training Council (“POST”), violated CGS § 1-84 (c) by using his state position to obtain personal financial gain through his private business.   Respondent had previously been instructed by the OSE that his conduct would violate the Code of Ethics.  Under the terms of the settlement, Respondent agreed to pay $27,825.    


Docket No. 2007-1:  In the Matter of a Complaint against Raymond Cox.  On January 14,, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while serving as an Assistant Rail Administrator for the Department of Transportation violated CGS §§ 1-84 (m) and 1-84 (c) by accepting a gift from a person the he knew or had reason to know was doing business with or seeking to do business with his department or agency, and by using his position to obtain financial gain for himself.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500.


Docket No. 2006-65: In the Matter of a Complaint against Adrienne Nails. On March 9, 2007, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, an employee of the Department of Veterans Affairs (DVA), entered into a contract with DVA without an open and public process as required by law.  Under the terms of the settlement, Respondent agreed to pay a $250 civil penalty. 


Docket No. 2005-10:  In the Matter of a Complaint against Lynda Morris.  On June 2, 2008, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent, while a state employee in the Judicial Branch, violated CGS § 1-84 (c) by using her state position to obtain personal financial gain by accessing certain state databases for the benefit of her private employer.  Under the terms of the settlement, Respondent agreed to pay $500 as a penalty for her violation of CGS § 1-84 (c).  


Docket No. 2005-7:  In the Matter of a Complaint against Albemarle Equities, LLC.  On May 10, 2005, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent, a registered lobbyist, violated a gift ban on the Code of Ethics for Public Officials that prevents lobbyists from knowingly providing a gift to any public official or a member of any such official’s immediate family.  In particular, Respondent permitted the Vice-President of the State Properties Review Board and her husband, to stay free of charge at a Vermont condominium on or about February 26-27, 2004.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000.    


Docket No. 2005-6:  In the Matter of a Complaint by John Kardaras against Rachel Rubin.  Following investigation, Special Enforcement Counsel Mary E. Schwind found there was no probable cause to believe that Respondent violated any provisions of the Code of Ethics for Public Officials by holding two state positions, as Special Counsel for Ethics Compliance within the Office of the Governor and as Director of Compliance for Storrs and Regional Campuses for the University of Connecticut.    Special Enforcement Counsel determined that there was no probable cause to believe that Respondent had violated the Code of Ethics by holding these two state positions.  Respondent waived her right to confidentiality and asked that the file be made a part of the public record.     


Docket No. 2005-5:  In the Matter of a Complaint against Konover Properties Corporation.  On May 2, 2005, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent, a business seeking or holding contracts with the state, violated the gift ban in the Code of Ethics by providing meals in excess of the $50.00 annual meal limit.  Under the terms of the settlement, Respondent was required to pay a civil penalty of $7,700.         


Docket No. 2005-3: In the Matter of a Complaint against Scott W. Jellison.  On June 20, 2005, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent, an employee for the State of Connecticut Department of Public Works, was found to have received food and/or beverages in excess of the legal limit of $50.00 per calendar year on more than one occasion since April 26, 2002 from Gilbane Building Company, a company that he knew or had reason to know was doing business with his agency.  Under the terms of the settlement, the Respondent agreed to pay a civil penalty of $500.       


Docket No. 2005-2: In the Matter of a Complaint against Gilbane Building Company.  On June 20, 2005, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent provided benefits in excess of the legal limits to two state employees who were employed by an agency with which Respondent was doing business.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $5,000.     


Docket No. 2004-4:  In the Matter of a Complaint against Edna M. Berastain.  On August 13, 2004, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that, following her departure from state service, Respondent represented her new employer for compensation before her former agency concerning matters in which the state had a substantial interest, in violation of  CGS §1-84b (b).  Under the settlement, Respondent agreed to pay $1,000. 


Docket No. 2004-01: In the Matter of a Complaint against Theodore Anson. On November 2, 2007, the OSE and Respondent entered into a Consent Order, resolving allegations that Respondent, the former Commissioner of Public Works, received a gift from a person who had contracted with, and was seeking to enter into a contract with the DPW and failed to report the gift on his 2000 statement of financial interest. Under the terms of the settlement, Respondent paid $30,000, half of which was attributed to the OSE (the other half was attributed to the Attorney General as a result of litigation filed by the AG).    


Docket No. 2003-12:  In the Matter of a Complaint against Robert V. Matthews.  On December 29, 2008, the OSE and Respondent entered into a Stipulation and Consent Order, resolving allegations that Respondent violated CGS § 1-84 (m) by giving a gift or gifts in violation of this section; §1-94 (1) by failing to register as a communicator lobbyist; § 1-96 (b) and § 1-99 (b) by failing to file periodic lobbyist reports; and §1-97 (b) by entering into a contract that was contingent upon the outcome of a lobbying effort.   Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,000.    


Docket No. 2003-9:  In the Matter of a Complaint against SRS Transportation Company, LLC.  On September 12, 2003, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent violated CGS §1-94 by failing to register as a client lobbyist.  The Complaint also alleged that Respondent failed to file the periodic financial reports in violation of CGS §1-96 in relation to such lobbying.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $2,000 and to file the appropriate financial reports. 


Docket No. 2003-7:  In the Matter of a Complaint against Lawrence E. Alibozek.  On July 11, 2003, the Commission found there was probable cause to believe that Respondent, the former Deputy Chief of Staff to Governor John G. Rowland, had violated  CGS §§ 1-84 (c) and 1-84 (g) and that he fraudulently concealed his violations of the Ethics Code for Public Officials.  The Complaint alleged that Respondent violated CGS §§ 1-84 (c) and 1-84 (g) by accepting and soliciting checks, gold bullion coins, cash, and other things of value from persons doing business with the State of Connecticut, and accepted such things with the intent to be influenced and rewarded in return for steering large state contracts to certain individuals and/or their companies.  The Complaint also alleged that Respondent knowingly acted in his financial interest or knowingly received a financial advantage resulting from the violations of these statutes, and that he fraudulently concealed these violations and acts from the State Ethics Commission.  The Commission referred the matter to the State of Connecticut Attorney General pursuant to CGS § 1-88 (d).     


Docket No. 2003-5:  In the Matter of a Complaint against John G. Rowland.  On June 13, 2003, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent, the Governor of Connecticut, directly and personally received gifts valued at $10.00 or more, which included lodging, from William A. Tomasso (“Tomasso”), a person that Respondent knew or should have known was doing business with Respondent’s department or agency, or was engaged in activities which were directly regulated by such department of agency.  Further, the Complaint alleges that Respondent directly and personally received gifts valued at $10.00 more, which included lodging, from Robert V. Matthews (“Matthews”), a person that Respondent knew or should have known was doing business with Respondent’s department or agency, or was engaged in activities which were directly regulated by such department of agency.  Under the terms of the settlement, Respondent agreed to pay $6,792.00, which is an amount equal to the difference between what Respondent paid for lodging accommodations from Tomasso and Matthews, and an additional $2,000 civil penalty.


Docket No. 2003-4: In the Matter of a Complaint against Arthur H. Diedrick. On July 10, 2008, the OSE and Respondent entered into a Consent Order, resolving allegations that Respondent, the former Chairman and President of the Connecticut Development Authority, failed to disclose a potential conflict of interest when a company with whom his wife owned stock applied to his agency for a multi-million dollar loan.  Under the terms of the Consent Order, Respondent paid a total of $16,000.


Docket No. 2002-13:  In the Matter of a Complaint against Dawn Ryzak.  On July 11, 2003, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent, a former employee of the Judicial Branch, violated  CGS Section §1-84 (c) by conducting an outside business using state equipment and information, thereby using her state position for personal financial gain.  The Complaint also alleges that Respondent violated CGS §1-84 (b) by accepting outside employment that impaired her judgment as to her official duties as a state employee.  Under the terms of the settlement, Respondent agreed to pay a $500 civil penalty. 


Docket No. 2002-2:  In the Matter of a Complaint against Linda Kowalski.  On November 29, 2005, the Commission and Respondent entered into a Stipulation and Order., resolving allegations that Respondent, a registered communicator lobbyist, filed reports which she knew to be false constituting violations of  CGS §§1-96 (a) and/or 1-96 (b); that Respondent intentionally failed to obtain and preserve proper records necessary to substantiate reports filed by or on behalf of a client lobbyist in violation of  CGS §1-96a(a); that Respondent failed to accurately report expenditures for the benefit of an itemizable person on periodic financial reports filed on behalf of one or more of her client lobbyist registrants in violation of  CGS §1-96 (e); that Respondent failed to report her unreimbursed expenditures for the benefit of an itemizable person in violation of   CGS §1-96 (b); and that Respondent provided gifts in excess of annual legal limits, in violation of  CGS §1-96 (a).  Under the Stipulation and Order, Respondent agreed to pay a civil penalty of $25,000.00 and to place in escrow $20,000.00 relative to a dispute between Respondent and a client over certain expenses.  Respondent also agreed to numerous injunctive provisions for a time period following the settlement.      


Docket No. 2002-10: In the Matter of a Complaint against Christopher Dunn.  On November 6, 2002, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent accepted outside employment that impaired his independence of judgment and that he used his state office for financial gain.  Under the settlement, Respondent agreed to pay a $1,200 civil penalty.  


Docket No. 2002-7: In the Matter of a Complaint against Jane E. Neilson.  On December 13, 2002, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent violated the Code’s use of office prohibition, open and public contract requirements and post-state employment restrictions.  As a result, she was required to pay a civil penalty of $4,000. 


Docket No. 2002-4: In the Matter of a Complaint against David S. Brown.  On July 12, 2002, the Commission and Respondent entered into a Stipulation and Order, resolving allegations that Respondent violated he ban on accepting employment with an entity after having been involved in the award of a State contract to that entity; and the one year prohibition on compensated appearances before one’s former agency.  Under the settlement, Respondent agreed to pay a $10,000 civil penalty for violation of the Ethics Code’s post-state employment provisions.  


Docket No. 2002-3: In the Matter of a Complaint against St. James Associates LLC.  On July 15, 2002, the Commission and Respondent settled this finders’ fee matter by entering into a Stipulation and Order.  Under the settlement, Respondent St. James was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, St James was required to repay approximately $1.75 million in finders’ fees and $150,000 in legal fees to the State. 


Docket No. 2001-15:  In The Matter of a Complaint against William Sadek.  On January 7, 2002, the Commission finalized a settlement with Respondent, the Chief Clerk for the New Haven Judicial District, which had been authorized on December 12, 2001.  Under the terms of the Stipulation and Order, Respondent agreed to pay a civil penalty of $2,000 for improperly utilizing his public position on behalf of a private dry cleaning business.  Respondent was also required to return $2,000 in benefits he had received as a result of the violation.  


Docket No. 2001-13:  In The Matter of a Complaint against The Mashantucket Pequot Tribal Nation/Foxwoods Resort Casino.  On September 14, 2001, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a civil penalty of $40,000 for violating the Code’s gift limits and reporting requirements in connection with receptions held at the 2000 Republican and Democratic National Conventions. 


Docket No. 2001-12:  In The Matter of a Complaint against Nancy Bernstein.  On September 14, 2001, the Commission and Respondent, a former Associate Vice-President at the UCONN Health Center, entered into a Stipulation and Order. 


Docket No. 2001-11: In The Matter of a Complaint against Raymond G. Baldwin, Jr.  On March 8, 2002, the Commission and Respondent entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a $500 civil penalty for violating §1-84 (b) of the Ethics Code by sitting as a hearing officer in a DMV administrative hearing involving one of his private legal clients.


Docket No. 2001-10:  In The Matter of a Complaint against Timothy Byrne.  On July 13, 2001, the Commission and Respondent, the Chair of a Department at UCONN, entered into a Stipulation and Order.  Under the terms of the settlement, Respondent agreed to pay a $1,000 civil penalty for improperly using his public position for the benefit of his professor/spouse by recommending her for a merit raise.  


Docket No. 2001-9:  In The Matter of a Complaint against Edwin Chadwick.  On July 13, 2001, the Commission and Respondent, a former member of the Board of the Connecticut Development Authority (CDA), entered into a Stipulation and Order.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000 for improperly using his office by negotiating with CDA officials in connection with financing for a business he owned. 


Docket No. 2001-8:  In The Matter of a Complaint against United Technologies Corp. On June 1, 2001, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a civil penalty of $3,000 for violating the Code’s gift limits, reporting requirements, and record keeping statutes in connection with a reception held at the 2000 Democratic National Convention. 


Docket No. 2001-7:  In The Matter of a Complaint against Northeast Utilities. On June 1, 2001, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a civil penalty of $3,000 for violating the Code’s gift limits, reporting requirements, and record keeping statutes in connection with a reception held at the 2000 Democratic National Convention. 


Docket No. 2001-6:  In The Matter of a Complaint against UDV North America, Inc.  On June 1, 2001, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a civil penalty of $3,000 for violating the Code’s gift limits, reporting requirements, and record keeping statutes in connection with a reception held at the 2000 Democratic National Convention.  


Docket No. 2001-3:  In The Matter of a Complaint against ESPN, Inc.  On March 30, 2001, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  Under the settlement, Respondent agreed to pay a civil penalty of $30,000 for violating the Code’s gift limits and reporting requirements in connection with a reception held at the 2000 Republican National Convention. 


Docket No. 2000-30:  In the Matter of a Complaint against Peter Kelly.  On or about November 17, 2001, the former State Ethics Commission (“Commission”) filed a complaint against Respondent alleging that he engaged in illegal contingent fee lobbying, failed to register as lobbyist with the Commission, and failed to file required lobbyist financial reports.  After the completion of a preliminary investigation, the matter against Respondent was dismissed and was subsumed into Docket No. 2002-3, in the Matter of a Complaint against St. James Associates, LLC. which was settled through Stipulation and Consent Order on July 15, 2002.


Docket No. 2000-29:  In the Matter of a Complaint against George C. Finley.  On or about November 17, 2001, the former State Ethics Commission (“Commission”) filed a complaint against Respondent alleging that he engaged in illegal contingent fee lobbying, failed to register as lobbyist with the Commission, and failed to file required lobbyist financial reports.  After the completion of a preliminary investigation, the matter against Respondent was dismissed and was subsumed into Docket No. 2002-3, in the Matter of a Complaint against St. James Associates, LLC. which was settled through Stipulation and Consent Order on July 15, 2002.


Docket No. 2000-28: In The Matter of a Complaint against Crossroads Investment Company, L.P.: On November 30, 2000, the Commission and Respondent entered into a Stipulation and Order. Under the Agreement, Respondent admitted that it had failed to register and report, as required by the Lobbyist Code, when it hired a consulting firm to assist in maintaining contracts with the Office of the Treasurer. Additionally, Respondent admitted that its contract with the consulting firm was an illegal contingent fee agreement. As part of its Orders, the Commission directed Respondent to cease and desist any further contingent fee payments and ordered that Respondent pay 1.2 million dollars in such monies to the Connecticut Retirement Plans and Trust Funds. This case marks the first settlement resulting from the OSE’s year-long Finders Fee inquiry.


Docket No. 2000-19: In The Matter of a Complaint against Ray C. Dethy. On April 7, 2000, the Commission and Respondent, a Professor at Central Connecticut State University, agreed to settle this matter by entering into a Stipulation and Order, which noted Respondent's unintentional violation of the Code. Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000 for accepting outside employment that impaired his independence of judgment. Specifically he was found to have performed private consulting work for the Hospital for Special Care when he was involved in the management, on behalf of the University, of a partnership between the School and the Hospital. 


Docket No. 2000-18: In the Matter of a Complaint against David Fearon. On April 7, 2000, the Commission and Respondent, a Professor at Central Connecticut State University, entered into Stipulation and Order. Under the settlement, Respondent agreed to pay to the State $6,000 in bonus payments which he had improperly received from a private entity, the Hospital for Special Care, for work performed in his State capacity. 


Docket No. 2000-17: In The Matter of a Complaint against Sharon T. Portnoy. On April 7, 2000, the Commission and Respondent, Regional Director of State Government Affairs for Philip Morris, entered into a Stipulation and Order. Under the settlement, Respondent agreed to pay a civil penalty of $4,000 for failing to register as a lobbyist and failing to file required disclosure reports. Additionally, Ms. Portnoy was banned from lobbying in Connecticut for one year as a result of her intentional use of false information in preparing and signing Philip Morris’ expenditure reports. This marks the first time in Commission history that the Code’s lobbying ban has been imposed. 


Docket No. 2000-16: In The Matter of a Complaint against Philip Morris Management Company. On April 7, 2000, the Commission and Respondent, a registered client lobbyist, entered into a Stipulation and Order. Under the settlement, Respondent agreed to pay a civil penalty of $20,000 for: falsely reporting expenditures for the benefit of public officials; violating the Code’s gift ban; failing to file required reports; failing to report expenditures in furtherance of lobbying; failing to report certain administrative lobbying; failing to keep proper records; and failing to provide required notification to public officials.


Docket No. 2000-15:  In The Matter of a Complaint against Westport Advisors LTD.  On April 18, 2001, the Commission and Respondent settled this finder’s fee matter by entering into a Stipulation and Order.  Under the settlement, Westport was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, Westport was required to place $437,000 in escrow for eventual repayment to the State’s pension fund.  (The monies will be returned to the pension fund if and when parallel litigation against Westport’s consultant is successfully concluded.)  Respondent was also required to pay a civil penalty of $2,000 and file the appropriate lobbyist registrations and financial disclosure reports. 


Docket No. 2000-14: In The Matter of a Complaint against New York Capital Partners, Inc.  On February 15, 2002, the Commission and Respondent settled this finders’ fee matter by entering into a Stipulation and Order.  Under the settlement, NYCP was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, NYCP was required to repay approximately $591,000 in finders’ fees to the State Pension Fund.  Respondent was also required to pay a $2,000 civil penalty. 


Docket No. 2000-13:  In The Matter of a Complaint against Keystone Venture Capital Management Company.  On May 11, 2001, the Commission and Respondent settled this finder’s fee matter by entering into a Stipulation and Order.  Under the settlement, Keystone was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, Keystone was required to place $156,000 in escrow for eventual repayment of the State’s pension fund.  (The monies will be returned to the pension fund if and when parallel litigation against Keystone’s consultant is successfully concluded.)  Respondent was also required to pay a $2,000 civil penalty and file the appropriate lobbyist registrations and financial disclosure reports.


Docket No. 2000-12: In The Matter of a Complaint against Glenn T. Carberry.  On November 19, 2002, the Commission and Respondent settled this finders’ fee matter by entering into a Stipulation and Order.  Under the settlement, Carberry was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, he was required to repay in excess of $180,000 in finders’ fees to the State Pension Fund.  Respondent was also required to pay a civil penalty of $2,000. 


Docket No. 2000-5: In The Matter of a Complaint against Crescendo Ventures III, L.L.C. et al.  On July 3, 2001, the Commission and Respondent, a venture capital management firm, settled this finder’s fee matter by entering into a Stipulation and Order.  Under the settlement, Crescendo was found to have engaged in illegal contingent fee lobbying of the Office of the Treasurer.  As a result, Crescendo was required to place approximately five million dollars in present and future contingent finder’s fees in escrow for eventual repayment to the State’s pension fund.  (The monies will be returned to the pension fund if and when parallel litigation against Crescendo’s consultants is successfully concluded.)  Respondent was also required to pay a $2,000 civil penalty and file the appropriate lobbyist registrations and financial disclosure reports.


Docket No. 2000-4:  In the Matter of a Complaint against Orville C. Karan.  On November 30, 2000, the Commission and Respondent entered into a Stipulation and Order.  Respondent was employed by the State of Connecticut at one time as Director of the University of Connecticut’s A.J. Pappanikou Center (“the Center”) on Special Education and Rehabilitation, and at all times as a professor in the School of Education at the University of Connecticut.  The Complaint alleged that during his tenure as the Director of the Center, Respondent supervised and was substantially involved in the establishment of Directions, Inc., a non-profit corporation.  The Complaint also alleged that on January 10, 1997, the Commission issued an opinion which held that, because of Respondent’s involvement in his official capacity with Directions, Inc., his acceptance of any remuneration from Directions, Inc. would violate  CGS §1-84 (c).  The Complaint alleged that in June of 1997, a second corporation, Directions of Rhode Island was formed and that on June 30, 1997 Directions, Inc. transferred $30,000.00 to Directions of Rhode Island.   Under the Settlement, the Commission found that Respondent accepted $24,000.00 in consulting fees/payments from Directions of Rhode Island beginning in November of 1997 and that the acceptance of such payments was in violation of  CGS §1-84 (c).  Under the settlement, Respondent agreed to pay a civil penalty in the amount of $15,000.00.  


Docket No.  2000-3:  In the Matter of a Complaint against Peter Kelly.  In January of 2000, the former State Ethics Commission (“Commission”) filed a complaint against Respondent alleging that he engaged in illegal contingent fee lobbying, failed to register as lobbyist with the Commission, and failed to file required lobbyist financial reports.  After the completion of a preliminary investigation, the matter against Respondent was dismissed and was subsumed into Docket No. 2002-3, in the Matter of a Complaint against St. James Associates, LLC, which was settled through Stipulation and Consent Order on July 15, 2002.


Docket No.  2000-2:  In the Matter of a Complaint against John Droney.  In January of 2000, the former State Ethics Commission (“Commission”) filed a complaint against Respondent alleging that he, as a member of St. James Associates, engaged in illegal contingent fee lobbying, failed to register as lobbyist with the Commission, and failed to file required lobbyist financial reports.  After the completion of a preliminary investigation, the matter against Respondent was dismissed and was subsumed into Docket No. 2002-3, in the Matter of a Complaint against St. James Associates, LLC, which was settled through Stipulation and Consent Order on July 15, 2002. 


Docket No.  2000-1:  In the Matter of a Complaint against George C. Finley.  In January of 2000, the former State Ethics Commission (“Commission”) filed a complaint against Respondent alleging that he, as a member of St. James Associates, engaged in illegal contingent fee lobbying, failed to register as lobbyist with the Commission, and failed to file required lobbyist financial reports.  After the completion of a preliminary investigation, the matter against Respondent was dismissed and was subsumed into Docket No. 2002-3, in the Matter of a Complaint against St. James Associates, LLC, which was settled through Stipulation and Consent Order on July 15, 2002. 


Docket No. 1999-4:  In the Matter of a Complaint against John Savino.  On July 9, 1999, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that while Respondent was a full-time Housing Specialist for the Judicial Branch, he engaged in paid private consulting work as a mediator in two cases then pending in the Connecticut Housing Court, in violation of CGS § 1-84 (b) and (c). Under the terms of the settlement, Respondent agreed to pay a civil penalty of $2,000 and agreed to forego compensation for his private consulting work. 


Docket No. 1999-2:  In the Matter of a Complaint against Jason Provost.   On April 9, 1999, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent and representatives of the H.H. Ellis Technical School, the employer of Respondent’s father, signed a contract obligating the school to provide the carpentry labor to build a two story Cape home with a two-car garage at below-market value, without going through the open and public process, in violation of CGS 1-84 (i).    Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1500 to the State Ethics Commission, and $6000 to the Department of Education as reimbursement for the construction work performed by the students and staff of H.H. Ellis Technical School.


Docket No. 1999-1:   In the Matter of a Complaint against Leo Provost.   On April 9, 1999, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, while working at the H.H. Ellis Technical School (“Ellis Tech”), used his position to apply for and contract with the school to construct a house for his son for less than market value, in violation of CGS 1-84 (c).  In addition, Respondent falsely stated on the application that the construction was not on behalf of an immediate family member.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1500 to the State Ethics Commission.


Docket No. 1998-16: In the Matter of a Complaint against Patricia Jackson.  On February 5, 1999, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that while Respondent was the Affirmative Action and Contract Compliance Supervisor for the Connecticut Human Rights and Opportunities (“CHRO”), she engaged in paid private consulting work for a company subject to the jurisdiction of CHRO, in violation of CGS § 1-84 (b) and (c). Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000 


Docket No. 1998-14:  In The Matter of a Complaint against Gerry Egan. On April 12, 1999, The Commission and Respondent, the High Sheriff of New London County, entered into a Stipulation and Order. Under the settlement, Respondent agreed to pay a civil penalty of $4,000 for using his position to appoint his wife and son to jobs with the New London County Sheriff’s Office.


Docket No. 1998-12:   In The Matter of a Complaint against Thomas G. Cotter. On February 1, 1999, the Commission and Respondent, a former Workers’ Compensation Commissioner, entered into a Stipulation and Order. Under the settlement, Respondent agreed to pay a civil penalty of $5,000 for accepting payments from a law firm which had a substantial Workers’ Compensation practice while he was serving as a Workers’ Compensation Commissioner. 


Docket No. 1998-11: In the Matter of a Complaint against Gerald C. Werner.  On October 2, 1998 the Commission and Respondent entered into a Stipulation and Consent Order.  The Complaint alleged that Respondent, a professor at Southern Connecticut State University, entered into a contract with the Connecticut State University System without following an open an public bid process, in violation of CGS § 1-84 (i).   Under the terms of the settlement, the Commission found that the violation was unintentional.  Respondent was ordered to pay a civil penalty of $2000, with $1000 of the penalty suspended in recognition of the University’s failure to also adhere to the requirements of CGS § 1-84 (i).


Docket No. 1998-10:  In the Matter of a Complaint against Andrew De Rocco.   On August 24, 1998, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, while serving as the Commissioner of Higher Education, accepted at least $3,500 in honoraria in his official capacity over the course of two years, in violation of CGS sections 1-84 (c) and (k).   The Complaint further alleged that Respondent failed to disclose the honoraria on his annual Statement of Financial Interests, in violation of CGS § 1-83 (b)(1)(B).   Under the terms of the settlement, the Commission found that the violations were unintentional.  Respondent was directed to return the honoraria to their source, and to pay a civil penalty of $1,000.


Docket No. 1998-9:  In the Matter of a Complaint against Ana-Maria Garcia.   On November 6, 1998, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, while a member of the State Board of Trustee, was selected by the Board of Trustee to be the Chief Administrative Officer for the Hartford school system without an open and public process in violation of CGS § 1-84 (i).  The Complaint further alleged that Respondent failed to make disclosures of two debts over $10,000 on her Statement of Financial Interests (“SFI”) for the years 1996 and 1997, thereby violating CGS § 1-83 (b)(1).  Under the terms of the settlement, the Commission found that the violations relating to Respondent’s acceptance of her position with the Hartford school system were unintentional and declined to fine her in recognition that Respondent resigned as the Chief Administrative Officer shortly after accepting the position.  The Commission dismissed the allegations relating to the failure to disclose the debts in the SFI upon finding that Respondent had a good faith belief that the debts did not exceed the reporting threshold of $10,000.


Docket No. 1998-8:  In the Matter of a Complaint against Louis Martin.   On December 4, 1998, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that while Respondent was the Executive Director of the Connecticut Commission on Human Rights and Opportunities (“CHRO”) he utilized state time, travel, personnel and/or other resources incident to the performance of human rights training for the consulting business known as “Albion Associates,” of which he was a principal, in violation of CGS § 1-84 (c).  The Complaint further alleged that Respondent’s position at “Albion Associates” during his tenure as Executive Director of CHRO impaired his independence of judgment as to his official duties, in violation of CGS § 1-84 (b).    Under the terms of the settlement, Respondent agreed to pay a civil penalty of $3,000.00.


Docket No. 1998-6:  In the Matter of a Complaint against David Holmes.  On June 5, 1998, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Mr. Holmes, then an employee of the Department of Environmental Protection, used his state computer for personal business purpose, by modifying, printing and storing documents relating to a rental property he owned, in violation of CGS § 1-84 (c).  Under the terms of the settlement, Respondent agreed to pay $2000 to the Ethics Commission.  However, based on Respondent’s cooperation with the Commission, $1,000 of the fine was suspended provided that Respondent continued compliance with the Code of Ethics.


Docket No. 1998-5:   In the Matter of a Complaint against John Eichler.  On June 5, 1998, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent left his state position at the Department of Environmental Protection and thereafter became employed by Time Action & Quality, Inc. (“TAQ”), as a consultant for TAQ’s client, The American Wire Company.  The Complaint further alleged that within a year after leaving state service, Mr. Eichler improperly appeared before his former agency on behalf of The American Wire company in violation of CGS § 1-84b (b).  Under the terms of the settlement, the Commission found that the violation was unintentional, and Respondent agreed to pay a civil penalty in the amount of $2,000.  


Docket No. 1998-3:  In the Matter of a Complaint against A. Robert Zeff and Bridgeport Jai Alai, Inc.  On May 27, 1998, the Commission and Respondents entered into a Stipulation and Order.  The four count Amended Complaint alleged that Bridgeport Jai Alai, Inc., which also did business as Shoreline Star Greyhound Park and Entertainment Complex, and its president, A. Robert Zeff, were registered lobbyists regulated by, and with matters pending in front of, the Gaming Policy Board (the “Board”).   The Amended Complaint further alleged that Respondents gave gifts to the Chairman of the Board in violation of CGS sections 1-84 (m) and 1-97(a), and then failed to disclose such gifts on Respondents’ quarterly lobbyist disclosure reports as required by CGS § 1-96 (e).   Under the terms of the settlement, Respondents agreed to pay $15,000 to the State Ethics Commission as follows:


(1)   $2000 for giving gifts to the Chairman;


(2)   $7000 for the failure to report gifts in 1995;


(3)   $4000 for failure to report gifts in 1996; and


(4)   $2000 for failure to keep substantiating records in 1997. 


Respondents were also ordered to establish a record-keeping system for tracking expenditures to public officials. 


     


Docket No.  1998-2:  In the Matter of a Complaint against William R. Darcy.  On April 22, 1998, the Commission and Respondent entered into a Stipulation and Order.  Respondent was an employee of the Connecticut Resources Recovery Authority (“CRRA), a quasi-public agency.  The Complaint alleged that on or about November 15, 1997, while Respondent was employed by CRRA, he participated substantially in the negotiation of a Memorandum of Understanding (“MOU”) between CRRA and American Ash Recycling Corporation, whose parent company was Environmental Capital Holdings Inc. (“ECH”) for the design, construction, and operation of an ash recycling project.   Respondent thereafter resigned as an employee of CRRA, and began employment with ECH within one year of negotiating the MOU, in violation of CGS § 1-84b (d).   Under the terms of the settlement, the Commission found that the matter was one of first impression for the Commission and thus, it determined that the violation was unintentional.  Respondent agreed to pay a civil penalty of $1000.

Docket No. 1998-1:  In the Matter of a Complaint against Francis J. Muska, Jr.  On January 9, 1998, the Commission and Respondent entered into a Stipulation and Order.   Respondent was the Chairman of the Gaming Policy Board (the “Board”).  The Complaint alleged that while Respondent was serving as the Chairman of the Board, he received benefits from Bridgeport Jai Alai, Inc., a registered lobbyist, and/or its President, A. Robert Zeff.   At the time, Bridgeport Jai Alai, Inc. and Zeff had matters pending before, and/or were regulated by the Board.   Under the settlement, the Commission found that Respondent accepted benefits in ground transportation, lodging, and meals worth over $50 from A. Robert Zeff and/or Bridgeport Jai Alai, Inc., and that the acceptance of such benefits was a violation of CGS sections 1-84 (j), (m) and (c).   Under the settlement, Respondent agreed to pay $500 to charity to reimburse for the value of the benefits he had received, and to pay a $2000 civil penalty.


Docket No. 1997-11:  In the Matter of a Complaint against Rae Thiesfield.  On November 24, 1997, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent left her state position as a staff attorney for the Commission on Human Rights and Opportunities (“CHRO”) and thereafter, began employment as an attorney with the firm Updike, Kelly & Spellacy, P.C.   The Complaint further alleged that Respondent, in her capacity as an attorney for Updike, Kelly & Spellacy, P.C., improperly appeared and represented clients before CHRO prior to the expiration of the one year period after she left state service, in violation of CGS § 1-84b (b).  Under the terms of the settlement, the Commission found that the violation was unintentional.  Respondent was ordered to pay a civil penalty of $6,000 and to comply with the post-state employment requirements of the Code of Ethics for Public Officials.   


Docket No. 1997-7:  In the Matter of a Complaint against Anthony D. Camilliere.  On May 2, 1997 the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that in two occasions in 1995, while Respondent was the Executive Assistant and Director of Field Services for the Senate Majority Caucus, he received gifts of tickets to events at the Meadows Music Theater from a registered lobbyist and/or its representative, in violation of CGS § 1-84 (j).   Under the terms of the settlement, the Commission found that the violation was unintentional.  Respondent agreed to pay $500 to charity in reimbursement of the value of the tickets he received, and to pay a civil penalty of $250.

Docket No. 1997-6:  In the Matter of a Complaint against Lewis B. Rome.  On June 6, 1997, the Commission and Respondent entered into a Stipulation and Order.   The Complaint alleged that in 1995 and in 1996, while Respondent was the Chairperson of the University of Connecticut Board of Trustees and the Vice-Chairperson of the Connecticut Convention Center Authority, he obtained gifts of 19 complimentary tickets from the Meadows Music Theater and/or its representative James Sandler, both registered lobbyists, for use by Respondent’s family members, in violation of CGS § 1-84 (j).  Under the terms of the settlement, the Commission found that the violation was unintentional.  Respondent agreed to pay $625 to charity in reimbursement of the value of the concert tickets he received, and to pay a civil penalty of $750.

Docket No. 1997-5:  In the Matter of a Complaint against Karl Witwicki.  On April 4, 1997, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that while Respondent was employed by the Department of Revenue Services as a Revenue Examiner I, he accepted payment from H & R Block, a private tax preparation service, for the preparation of state and federal tax returns on behalf of H & R Block clients.  The Complaint further alleged that Respondent’s actions constituted acceptance of outside employment which impaired his independence of judgment as to his official duties, in violation of CGS § 1-84 (b).  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000.

Docket No. 1997-4:  In the Matter of a Complaint against Norma A. Younadim.   On July 11, 1997, the Commission and Respondent entered into a Stipulation and Order.  The two-count Complaint alleged that throughout 1994, 1995 and 1996, while Respondent was a Court Services Clerk for the New Britain Superior Court, she utilized her public office or position for personal financial gain by soliciting money and low-interest loans from attorneys appearing before the court, in violation of CGS § 1-84 (c).   The Complaint further alleged that Respondent’s conduct also violated CGS 1-84 (m).  Under the terms of the settlement, Respondent agreed to pay to the Commission a civil penalty of $5,000.  


Docket No. 1997-3:  In the Matter of a Complaint against Members of the Office of the Governor.  On April 3, 1997, the Commission and Respondents entered into a Stipulation and Order.  The Complaint alleged that in 1995 and 1996 Respondents, Sam Caligiuri, Mary Ann Hanley and spouse, Kathy Mengacci and spouse, Joseph Nesteriak, David W. O’Leary and spouse, Kyra Pishtey and John Rowland and spouse, while serving as public officials and/or state employees, received over $50.00 in seating tickets at the Meadows Music Theater from registered lobbyists James Sandler and Meadows Music Theater in violation of CGS § 1-84 (m).  The Complaint further alleged that on more than one occasion, Respondents paid for the tickets, but paid less than the fair market value for them, in violation of CGS § 1-84 (j).  Under the terms of the settlement, the Commission found that the violations were unintentional.  Respondents agreed to pay $3,841 to charity to reimburse for the value of the seating tickets they received.  Respondent Governor John G. Rowland, on behalf of himself and the other Respondents, agreed to pay a civil penalty in the amount of $2,000.

Docket No. 1997-2:  In the Matter of a Complaint against James P. Sandler.  On March 10, 1997, the Commission and Respondent entered into a Stipulation and Order.  The three-count Complaint alleged that in 1995 and 1996, Respondent, a registered lobbyist for the client registrant Meadows Music Theater (“Meadows”), provided gifts in excess of the $50 limit to state employees, public officials, and/or members of their staff or immediate family in violation to General Status § 1-97(a); that Respondent failed to keep proper records regarding the distribution of gifts for the benefit of a public officials, violating General Statues § 1-96 (a); and, that Respondent failed to report gifts distributed to reportable individuals gratis or without full payment, in violation of CGS § 1-96 (b).  Under the terms of the settlement, Respondent agreed to pay a $100,000 civil penalty.  Respondent also agreed to allow the Commission staff to review, without prior notice, any and all records relevant to lobbying activity and/or activities in furtherance of lobbying, for a period of three years from the date of the acceptance of the Stipulation and Order by the Commission.

Docket No. 1997-1:  In the Matter of a Complaint against Meadows Music Theater.  On March 10, 1997, the Commission and Respondent entered into a Stipulation and Order.  The four-count Complaint alleged that in 1995 and 1996 Respondent, a registered lobbyist, provided approximately $100,000 in gifts of food, drinks and concert tickets to state employees, public officials, their staff and immediate family members, and failed to file financial reports that accurately reported the gifts, in violation of CGS § 1-96.  The Complaint also alleged that Respondent failed to keep proper records regarding the distribution of complimentary concert tickets, thereby failing to maintain the documents necessary to substantiate its expenditures for the benefit of public officials, in violation of CGS § 1-96a.  Under the terms of the settlement, Respondent agreed to pay a $150,000 civil penalty.  Respondent also agreed to allow the Commission staff to review any and all records relevant to lobbying activity and/or activities in furtherance of lobbying, without prior notice, for a period of three years from the date of the Stipulation and Order.

Docket No. 1996-7:   In the Matter of a Complaint against Jewel Productions, LTD.  On May 2, 2007, the Commission and Respondent entered into a Stipulation and Order.  The Amended Complaint alleged that in 1995 Respondent, a registered lobbyist and an organization which ran the Volvo Tennis Tournament, provided gifts in excess of the $50.00 limit to various state employees and public officials in violation of CGS § 1-97(a); that Respondent failed to report expenditures of over $10.00 dollars for the benefit of a public official in violation of CGS § 1-96 (e); and, that Respondent failed to keep proper records regarding the distribution of gifts for the benefit of a public officials, violating CGS § 1-96 (a).  Under the terms of the settlement, the Commission found that the violations were unintentional and that Respondent’s conduct was merely negligent.  Respondent agreed to pay a $3,000 civil penalty.  Respondent also agreed to allow the Commission to review any and all records relevant to lobbying activity for a period of three years from the date of the Stipulation and Order.      


Docket No:  1996-6:  In the Matter of a Complaint against Dean E. McLear.  On May 2, 1997, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that while Respondent was a manager at the Department of Transportation, he received gifts totaling $105 from a registered lobbyist, Minnesota Mining and Manufacturing Company (“3-M”), in violation of CGS sections 1-84 (m) and (j).  Under the terms of the settlement, Respondent agreed to pay a $500 civil penalty and to comply with the requirements of the state Code of Ethics for Public Officials.    


Docket No. 1996-5:  In the Matter of a Complaint against James F. Sullivan.  On March 7, 1997, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that in 1995 Respondent, while serving as the Bureau Chief, Bureau of Engineering and Highway Operations of the Connecticut Department of Transportation, received gifts over $50.00 in the form of golf greens fees and baseball tickets from a registered lobbyist, Minnesota Mining and Manufacturing Company (“3-M”) in violation of CGS sections 1-84 (j) and (m).  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $500 and to comply with the requirements of state Code of Ethics for Public Officials.    


Docket No. 1996-4:    In the Matter of a Complaint against Minnesota Mining and Manufacturing Company (“3-M”).  On May 2, 1997, the Ethics Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that in 1995 Respondent, a registered lobbyist, provided gifts in excess of the $50.00 annual limit to two state employees in violation of CGS § 1-97.  The Complaint also alleged that Respondent failed to report expenditures over $10.00 for the benefit of a public official or his/her staff member in violation of CGS § 1-96 (e).  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $8,000.  Respondent also agreed to establish procedures to safeguard against any recurrence of these violations, including ongoing ethics trainings and the establishment of a tracking system for the reporting of expenditures for the benefit of Connecticut state employees and public officials.    


Docket No. 1995-9:  In the Matter of a Complaint against Suzanne West.  On July 12, 1996 the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that while Respondent was a Real Estate Investment Officer for the Office of the Treasurer, she participated substantially in the negotiation or award of a July 1, 1994 state contract to The O’Connor Group, an investment advisory firm.  The Complaint further alleged that Respondent’s state employment was terminated by lay-off and, within a year of leaving state service, Respondent accepted employment with The O’Connor Group in violation of CGS § 1-84b (d).  Under the terms of the settlement Respondent agreed to pay a civil penalty of $1000.  In settling the matter, the SEC accepted Respondent’s explanation that she did not understand that the revolving door prohibition extended to those who were laid off from state service. 


Docket No. 1995-7: In the Matter of a Complaint against Marianne Smith.  On July 10, 1995, the Ethics Commission entered a Notice of Termination of Preliminary Investigation and Results and found that this Compliant was precluded under the doctrine of collateral estoppel.   The Complaint was filed by John Merchant, who was Respondent in Ethics Commission Docket No. 1994-2.  Previously, on October 7, 1994 and February 3, 1995, the Commission had considered the allegations that formed the subject of the complaint (in the context of a motion to disqualify SEC staff from prosecuting the complaint against Merchant) and had already found the allegations to be without merit.    


Docket No. 1995-6:  In the Matter of a Complaint against Alan S. Plofsky.  On July 16, 1995, the Ethics Commission entered a Notice of Termination of Preliminary Investigation and Results and found that this Complaint was precluded under the doctrine of collateral estoppel.   The Complaint was filed by John Merchant, who was Respondent in Ethics Commission Docket No. 1994-2.  Previously, on October 7, 1994, the Commission had considered the allegations that formed the subject of the complaint (in the context of a motion to disqualify SEC staff from prosecuting the complaint against Merchant) and had already found the allegations to be without merit.    


Docket No. 1995-4:  In the Matter of a Complaint against Orville C. Karan.  On May 5, 1995, the Commission and Respondent entered into a Stipulation and Order.  The two-count Complaint alleged that Respondent was the Director of the A.J. Pappanikou Center on Special Education and Rehabilitation, a University Affiliated Program (“UAP”) of the University of Connecticut.  That Respondent, in his state role, transferred state funds generated by a program run by UPA, into the checking account of a private corporation for which Respondent was the Director and Vice-President, in violation of CGS sections 1-85.   The Complaint further alleged that Respondent failed to disclose the conflict of interest in violation of CGS § 1-86 (a).  Under the terms of the settlement, Respondent agreed to pay to the Commission a civil penalty of $1000 and to henceforth comply with the Code of Ethics.     


Docket No. 1995-2:  In The Matter of a Complaint against A. Searle Field.  On July 21, 1995, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent left his state position as Chief of Staff to Governor Lowell P. Weicker and, within a year of leaving state service, represented his new employer for compensation before his former agency in violation of CGS § 1-84b (b).  The Complaint also alleged that Respondent represented his new employer in a particular matter in which he participated personally and substantially while in state service in violation of CGS 1-84b (a).  Under the terms of the settlement the Commission found that Respondent was exceedingly negligent in violating § 1-84b (b).  The Commission dismissed the second violation of § 1-84b (a) based on staff investigation that indicated that Respondent’s involvement was not substantial.  Respondent agreed to pay a civil penalty of $1000. 


Docket No. 1994-5:  In the Matter of a Complaint against Minnesota Mining and Manufacturing Company (“3-M”).  On July 7, 1995, the Commission and 3-M entered into a Stipulation and Order.  The five-count Amended Complaint alleged that in 1992, Respondent violated CGS §§ 1-94 and 1-96 (a) by failing to register as a client lobbyist, although it made expenditures for lobbying and in furtherance of lobbying in excess of $1,000, and by failing to file the required monthly and quarterly reports; that in 1992, 1993 and 1994, Respondent failed to report various expenditures for over ten dollars or more for the benefit of a public official and or a member of his or her staff, in violation of § 1-96 (e); and that Respondent failed to report the fundamental terms of contract and the terms of compensation for lobbying and in furtherance of lobbying, in violation of CGS § 1-96 (e) and Regulations of Connecticut State Agencies § 1-92-48 (e).   Under the terms of the Settlement, Respondent agreed to pay a civil penalty of $20,000 and to file all financial reports, amended final reports and/or other documents required by the Commission.    


Docket No. 1994-4:  In the Matter of a Complaint against William Halstead.  On November 8, 1994, the Commission and Respondent entered into a Stipulation and Order.  The Commission found that Respondent impaired his independence of judgment with regard to his state job in violation of CGS § 1-84 (b).  The Complaint alleged that, while a state employee serving as fire chief for Fairfield Hills Hospital, Respondent prepared a bid specification for the Hospital to use in purchasing a fire truck.  At the time Respondent drafted the bid specification, he was also privately employed by one of the companies bidding for the contract, and Respondent used information from his private employment to draft the bid specification in favor of his private employer.  Under the terms of the settlement, the Commission ordered, and Respondent agreed, to pay a civil penalty of $500 and to henceforth comply with the Code of Ethics.    


Docket No. 1994-3:  In the Matter of a Complaint against Peter Waldron.  On September 27, 1994, the Commission and Respondent entered into a Stipulation and Order.   Among other things, the Complaint alleged that Respondent, while serving as Assistant Executive Director of the Legislative Management Committee, stored personal belongings in a state storage facility for 38 months, and did not reimburse the state for the use of the space.  The Complaint also alleged that Respondent received snow plowing and landscaping services on one or more occasions from contractors doing business with the State, for which Respondent was either not billed or payment was delayed.  Respondent’s actions constituted a use of his state office and position for personal financial gain in violation of CGS § 1-84 (c).  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $2,000.   


Docket No. 1994-2:  In the Matter of a Complaint against John F. Merchant.  Following a public hearing, the Commission found that Respondent, while serving as the Consumer Counsel for the State of Connecticut, violated CGS § 1-84 (c) by claiming state work time when, in fact, he was actually attending various golf tournaments in his capacity as an official for the United States Golf Association. The Commission ordered Respondent to pay a civil penalty of $1,000 and to henceforth comply with the Code of Ethics for Public Officials.  Respondent appealed the Commission’s findings to the Superior Court, which dismissed the appeal.  John F. Merchant v. State Ethics Commission, CV96-0330176 (J.D., Fairfield, September 24, 1997).  The Connecticut Appellate Court affirmed the Superior Court’s dismissal.  John F. Merchant v. State Ethics Commission, 53 App. 808 (1999).


Docket No. 1994-1:  In the Matter of a Complaint against William M. Simmons.  On June 23, 1994, the Commission and Respondent entered into a Stipulation and Order.   The three-count Complaint alleged that in 1991 and 1992 Respondent, while employed at H.H. Ellis Vocational-Technical School as the head of its aviation maintenance department, impaired his independence of judgment in violation of CGS § 1-84 (b).  Specifically, Respondent, doing business as New England Aero Services, Inc., sold airplane parts to individuals who were also customers of the school, determined the types of work to be performed for those costumers at the school by its students, and determined the amount of moneys to be charged to these costumers for the work performed.  The Complaint further alleged that Respondent used his state position for financial gain when he placed a private company on the list of vendors approved by the school and then sold airplane parts to that company for resale to customers of the school in violation of CGS § 1-84 (c).  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $3,000 and to henceforth comply with the Code of Ethics.     


Docket No. 1993-5:  In the Matter of a Complaint against William Sawicki.  On July 29, 1994, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, while he was a sanitarian in the Department of Health Services’ Environmental Health Section violated CGS §§ 1-84 (b) and 1-84 (c) by accepting outside employment that impaired his independence of judgment, and by using his office or position to obtain financial gain.  Respondent was alleged to have steered work to an outside business in which he had a financial interest.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,000.      


Docket No. 1993-4:  In the Matter of a Complaint against Edward C. Krawiecki, Jr.  On July 12, 1993, the Commission and Respondent, Representative Edward C. Krawiecki, Jr., entered into a Stipulation and Order.  The Complaint alleged that Respondent used his state position or office in violation of CGS §§ 1-85 and 1-84 (c) by attempting to enact legislation that would benefit his private business.  Respondent, although not admitting the violation, acknowledged that there was sufficient evidence for an impartial trier of fact to find a violation.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $1,500.   


Docket No. 1993-2:  In the Matter of a Complaint against The Banks Association of Connecticut.  On July 16, 1993 the Commission and Respondent entered into a Stipulation and Order, which noted Respondent’s unintentional violation of the Code of Ethics based on a misinterpretation of a change in the law.  The Amended Complaint alleged that in 1992, Respondent, a registered lobbyist, provided gifts in food and beverage to a public official in excess of the $150 limit in violation of CGS § 1-97(a).   Under the terms of the settlement, Respondent agreed to pay a civil penalty of $500.    


Docket No. 1993-1:  In the Matter of a Complaint against Alfred J. Rioux.   Following a public hearing on January 17, 1996, the Commission issued a finding that Respondent, while serving as Hartford County High Sheriff, violated CGS § 1-84 (c) by engaging in a fee-splitting arrangement with several of his deputies, charging fees not authorized by statute, and using his state employee staff to perform clerical duties associated with his own private service of process business.  Respondent was ordered to pay a civil penalty of $7,000.  Respondent appealed the Commission’s finding to the Superior court, which dismissed the appeal.  Rioux v. State Ethics Commission, 45  Supp. 242.  The Connecticut Appellate Court affirmed the Superior Court’s dismissal of the appeal.  Rioux v. State Ethics Commission, 48  App. 214 (1998).   


Docket No. 1992-17:  In the Matter of a Complaint against Charles D. Ray.  On June 7, 1993, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, as the Director of the Moot Court Interterm Program at the  University of Connecticut, used his public office or position for financial gain when he hired his wife as one of the interterm moot court instructors, in violation of CGS § 1-84 (c ).  Under the terms of the settlement, the Commission found that the violation was unintentional and ordered Respondent to pay a civil penalty of $500 and to henceforth comply with the requirements of the Code of Ethics.    


Docket No. 1992-16:  In the Matter of a Complaint against Cleveland Donald.  On July 12, 1993, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, as the Director of the Waterbury Regional Campus of the University of Connecticut, used his public office or position for financial gain when he took steps to hire his wife as Minority Recruiter at the Waterbury Campus at the rate of $6,000 for a one month period, in violation of CGS § 1-84 (c ).  The Complaint also alleged that Respondent failed to disclose this information to his superiors in violation of CGS § 1-86 (a).  Under the terms of the settlement, the Commission found that the violation was unintentional and ordered Respondent to pay a civil penalty of $2,000 and to henceforth comply with the requirements of the Code of Ethics.    


Docket No. 1992-15:  In the Matter of a Complaint against Janice P. Hills.  Following a probable cause hearing, the Commission found probable cause to believe that Respondent violated the Code of Ethics for Public Officials.  The Complaint alleged that Respondent, within a year of leaving her state position as the Deputy Executive Director and Director of Research and Development of the Commission on Hospitals and Health Care (“CHHC”), violated CGS § 1-84 b(b) by entering into a contract with Arthur D. Little, Inc., in regard to a Request for Proposals (“RFP”) issued by CHHC.  Specifically, the Complaint alleged that Arthur D. Little, Inc. submitted a response to the RFP which identified Respondent as a consultant and participant of the project, and referenced her previous affiliation with CHHC.  Respondent’s participation in the Arthur D. Little’s submission to CHHC less than a year after leaving state service constituted a violation of CGS 1-84b (b).  On March 1, 1993, the Commission and Respondent entered into a Stipulation and Order.  Pursuant to the terms of the settlement, Respondent was ordered to pay a civil penalty of $750 and to comply with the requirements of the Code of Ethics for Public Officials.

  


Docket No. 1992-14:  In the Matter of a Complaint against John J. Farrell.  Following a probable cause hearing, the Commission found probable cause to believe that Respondent violated the Code of Ethics for Public Officials.  The Complaint alleged that Respondent, within a year of leaving his state position as a member of the Commission on Hospitals and Health Care (“CHHC”) violated CGS § 1-84 b(b) by entering into a contract with KPMG Peat Marwick in regard to a Request for Proposals published by CHHC.  Specifically, the Complaint alleged that the proposal from KPMG Peat Marwick identified Respondent as a subcontractor and technical advisor on the project, and referenced his previous affiliations with CHHC.  The Complaint also alleged that the  Respondent, while in state service, and less than one year prior to his resignation, participated substantially in the awarding of two contracts to KPMG Peat Marwick, in violation of CGS § 1-84 b(d).  Respondent appealed the Commission’s finding of probable cause to the Superior Court, requesting a reversal and stay of the Commission’s findings, and an Order requiring the Commission to keep confidential both its findings and the fact of the appeal.  Following the Superior Court’s dismissal of Farrell’s appeal (9  L. Rptr. 272, 273-74 (1993)), the Commission proceeded to a public hearing and, on March 25, 1994, Judge Trial Referee David Shea issued a Memorandum of Decision finding that Respondent violated CGS §§ 1-84 b(b) and 1-84 b(d).  Respondent was ordered to pay a civil penalty of $1,000.    


Docket No. 1992-13:  The State Ethics Commission received a request from Probate Court Judge James Lawlor to investigate State Representative Lynn Taborsak’s behavior in connection with the receipt of mileage reimbursement for official business while she was receiving unemployment benefits.  The Commission, at its meeting of September 14, 1992, found that the allegations in Judge Lawlor’s letter lacked a cause of action under the Code of Ethics.  The Commission also found that Judge Lawler may have abused Rep. Taborsak’s rights to confidentiality when he informed the press that he had asked the Commission for an investigation in this matter.  Representative Taborsak, subsequent to Judge Lawlor informing the press, waived her rights to confidentiality and the file was made public by the Commission.    


Docket No. 1992-12:  In the Matter of a Complaint against Betty Baronowski.  On November 2, 1992, the State Ethics Commission (“SEC”) and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, within a year after leaving her state position at the Department of Administrative Services (“DAS”), improperly appeared before DAS on behalf of her new employer concerning a matter in which the State had a substantial interest, in violation of CGS § 1-84b (b).  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $1,000 and to comply with the requirements of the Code of Ethics for Public Officials.   


Docket No. 1992-6:  In the Matter of a Complaint against Demetrios Louziotis, Sr.  On April 6, 1992, the State Ethics Commission (“SEC”) and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, while serving as the Executive Director of the State Division of Special Revenue, violated CGS § 1-84 (c) by recommending and authorizing the hiring of his brother for employment with the State Division of Special Revenue.  The SEC found that the violation was not intentional.  Under the terms of the settlement, the SEC ordered and Respondent agreed to pay a civil penalty of $500.   


Docket No. 1992-5:  In the Matter of a Complaint against Chris A. Gentile.  On August 3, 1992 The State Ethics Commission (“SEC”) and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, while serving as the Director of the state Office of Emergency Medical Services (“OEMS”) violated CGS § 1-84 (b) by accepting outside employment that impaired his independence of judgment as to his official duties as state employee.  In particular, Respondent accepted employment with C.A.G. Associates, Inc., a private corporation organized by Respondent and the principals of Medstar, Inc., a company owner of several businesses regulated by OEMS.   The Complaint also alleged that within a year after leaving state service, Respondent appeared before his former agency representing his new employer in violation of CGS § 1-84b (b).    Under the terms of the settlement, the SEC ordered and Respondent agreed to pay a civil penalty of $2,000.   


Docket No. 1992-2:  In the Matter of an Evaluation of Southern New England Telephone Company (“SNET”).  The Commission conducted an investigation in connection to a possible violation of CGS § 1-91, et seq., by SNET, a registered lobbyist.  The evaluation focused on whether SNET failed to report gifts and meals provided to Daniel Colarusso, former head of the Office of Information Technology.   During the course of the investigation, SNET’s records revealed that in 1990 and 1991, it failed to reports gifts and meals to Mr. Colarusso, benefits that should have been reported in SNET’s periodic lobbyist financial reports.  The investigation also revealed that the benefits were provided by two SNET’s former employees.   SNET filed amendment financial reports which reflect the uncovered information.   Upon the filing of the amended reports, no further action was taken by the SEC against SNET.  SNET waived its right to confidentiality of the file.   


Docket No. 1992-1:  In the Matter of a Complaint against John J. Lepore.  The Complaint alleged that subsequent to Respondent’s departure from state service, the SEC notified him within sixty days of his departure from state service of his responsibility to file an SFI covering the portion of the year for which he held his office or position.  The SEC received, after the sixty days provided by law, Respondent’s SFI containing only his name, the names of his spouse and dependent child and his state position.  Along with his Statement, the SEC received a statement from Respondent claiming that any other information requested by the form was protected by his rights and privileges against self-incrimination.  Following a preliminary confidential hearing, the State Ethics Commission found probable cause to believe that Respondent violated CGS § 1-83 (a) by failing to file a completed SFI.    


Docket No.  1991-11:  In the Matter of a Complaint against J. Edward Smith.  On August 3, 1991, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, as the Director of the University of the Third Age at Asnuntuck Community College, violated CGS § 1-84 (c) by hiring his wife and daughter to teach courses at the University, by which they were compensated $2,200 and $562.50, respectively, and by assigning to himself the teaching of six courses by which he was compensated the amount of $2,062.50.  The Complaint further alleged that the courses created and assigned by Respondent enrolled a low amount of students or no students at all.  Respondent’s actions of the creation and assignment of these courses constituted the use of office or position to obtain financial gain for his spouse, his daughter and himself.  Under the terms of the settlement, Respondent agreed to pay a civil penalty of $5,000.    


Docket No.  1991-8:  In the Matter of a Complaint against Theresa Bousquet.  On September 16, 1991, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, an employee for the Job Connection program administered by the Department of Income Maintenance, violated the Code of Ethics for Public Officials when she intercepted a job request to recommend her son-in-law for a job.  Respondent’s son-in-law was not a participant of the program or eligible for a job through the program.  Respondent’s actions constituted a use of her public office or position to obtain financial gain for her husband’s child, in violation of CGS § 1-84 (c).  Under the terms of the agreement, Respondent was ordered to pay a civil penalty of $100.    


Docket No. 1991-7:  In the Matter of a Complaint against Thomas Colapietro.  The Complaint, filed by state Representative Gene Migliaro, alleged that Respondent, a registered lobbyist for the United Auto Workers, violated provisions of the Code of Ethics for Lobbyists by engaging in a “smear campaign” against him.  On April 1, 1991, the Commission dismissed the Complaint because it failed to state a cause of action under the Code of Ethics for Lobbyists.  Respondent subsequently waived his rights to confidentiality under CGS § 1-93a (a), and the file was made public by the Commission.   


Docket No. 1991-1:  In the Matter of a Complaint against Joseph W. Winski.  On September 16, 1992, the Commission and Respondent, the Director of Emergency Response Services at the University of Connecticut (“UConn”), entered into Stipulation and Order.  The Complaint alleged that in May 1990, UConn purchased an Emergency One Cyclone fire truck from Connecticut Apparatus Sales and Services.  Subsequent to the purchase, Mr. Earl Glenney, President of Connecticut Apparatus Sales and Services, knowing that UConn intended to purchase more equipment, provided Respondent with five round-trip airline tickets for travel for Respondent and his family to Orlando, Florida, and accommodations at a condominium owned by Mr. Gleeney. Respondent’s acceptance of these gifts constituted a use of public office or position in violation of CGS § 1-84 (c).  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $1,000 and to make a $1,000 contribution to a charity.   


Docket No. 1990-14:  In the Matter of a Complaint against Nicholas Torneo.   On February 5, 1992, the Commission and Respondent entered into a Stipulation and Order.  Following a confidential probable cause hearing, the Commission found probable cause to believe that Respondent, while serving as a Senior Mortgage Underwriter for the Connecticut Housing Finance Authority, accepted an airline ticket, accommodations and hunting fees paid by a person he knew or had reason to know was doing business or seeking to do business with his department or agency.  Respondent’s actions constituted a use of public office or position to obtain financial gain for himself in violation of CGS § 1-84 (c).   Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $1,000.   


Docket No. 1990-13:  In the Matter of a Complaint against Savings Banks’ Association of Connecticut.  On January 7, 1991, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Consent Order.  The Amended Complaint alleged that between 1987 and 1990, Respondent provided gifts in excess of the $50 limit to legislators and other reportable individuals in violation of CGS § 1-97; that Respondent failed to report expenditures of fifteen dollars or more for the benefit of a public official; and, that Respondent failed to keep and/or altered the proper records substantiating these expenditures, in violation of CGS § 1-96.  Under the terms of the settlement, the Commission ordered Respondent to pay a civil penalty of $25,000 and to allow the Commission to review, without prior notice, any and all records relevant to lobbying and/or to activities in furtherance of lobbying for a period of three years from the execution of the Stipulation and Order.   


Docket No. 1990-12:  In the Matter of a Complaint against Brendan J. Kennedy.  On November 5, 1990, the Commission and Respondent entered into a Stipulation and Consent Order.  The Complaint alleged that Respondent, a registered lobbyist for Connecticut Retail Merchants Association (CRMA), violated CGS §§ 1-96 and 1-97 by providing gifts to public officials in excess of the $50 limit, and by failing to file financial reports that accurately reported the gifts.  The Complaint also alleged that Respondent violated CGS § 1-91 (g) by writing personal checks as political contribution, for which he was later reimbursed by CMRA.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $15,000, and to allow the Commission to review, without prior notice, any and all records relevant to lobbying and/or to activities in furtherance of lobbying for a period of three years from the execution of the Stipulation and Order.     


Docket No. 1990-8:  In the Matter of a Complaint against George Gunther.  On January 7, 1991, the Commission and Respondent, a state Senator, entered into a Stipulation and Order.  The Amended Complaint alleged that in 1988, 1989 and 1990, Respondent violated CGS § 1-84 (j) by accepting gifts from a registered lobbyist valued in excess of the gift limit.  Specifically, Respondent accepted liquor, beer, and soft drinks deliveries, in excess of $1,000.  Under the terms of the settlement, the Commission ordered and Respondent agreed to make a contribution of $1,000 to a charity approved by the Commission, and to pay a civil penalty of $2,000.     


Docket No. 1990-7:  In the Matter of a Complaint against Nancy Owen.  On January 2, 1991, the Commission and Respondent entered into a Stipulation and Consent Order.  The Amended Complaint alleged that in 1989, Respondent violated CGS § 1-84 (j) by accepting gifts from a registered lobbyist valued in excess of the gift limit.  Specifically, Respondent accepted airline tickets, accommodations for a trip to Monterey, California, and a chartered fishing trip.  Under the terms of the settlement, the Commission ordered and Respondent agreed to make a contribution of $850 to a charity approved by the commission, and to pay a civil penalty of $1,000. 


Docket No. 1990-6: In the Matter of a Complaint against Linda A. Kowalski.  On November 1, 1990, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  The ten-count Complaint alleged that in 1987, 1988, 1989 and 1990, Respondent violated the gift limits and reporting and record-keeping provisions of the Code of Ethics for Lobbyist.  The Complaint included allegations that Respondent provided over $1,000 in alcohol and other gifts to a public official, and that she provided airfare and lodging worth over $750 to a legislative staff member in connection with a trip to Monterey, California in 1989.  Under the terms of the settlement, the Commission found that Respondent knowingly and intentionally violated the Code of Ethics.  Respondent was ordered to pay a civil penalty of $50,000, and to allow the Commission to review, without prior notice, any and all records relevant to lobbying and/or to activities in furtherance of lobbying for a period of three years from the execution of the Stipulation and Order.    


Docket No.  1990-5:  In the Matter of a Complaint against Earnestine Kirkland.  On January 7, 1991, the Commission and Respondent, a professor and chairman of the Social Science Division at the South Central Community College (SCCC), entered into a Stipulation and Order.  The Complaint alleged that Respondent used her state office and position to obtain financial gain for her husband when, as chairman of the Social Sciences Division, she recommended her husband to teach a course at SCCC.   Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $300 and to henceforth comply with the provisions of the Code of Ethics.     


Docket No.  1990-4:  In the Matter of a Complaint against Diana Duarte.  On January 7, 1991, the Commission and Respondent, a professor and chairman of the Business Division at the South Central Community College (SCCC), entered into a Stipulation and Order.  The Complaint alleged that Respondent used her state office and position to obtain financial gain for her husband when, as the chairman of the Business Division, she recommended her husband to teach a course at SCCC.   Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $300 and to henceforth comply with the provisions of the Code of Ethics.      


Docket No. 1990-3: In the Matter of a Complaint against Connecticut Retail Merchants Association (“CRMA”).  On October 1, 1990, the Commission and Respondent, a registered lobbyist, entered into a Stipulation and Order.  The Amended Complaint alleged that in 1987, 1988 and 1989, Respondent violated the gift limits and reporting and record-keeping provisions of the Code of Ethics for Lobbyists.   Under the terms of the settlement, Respondent admitted that it had deliberately and intentionally violated the Code of Ethics for Lobbyists as alleged in the Amended Complaint.  Respondent agreed to pay a civil penalty of $50,000, and to allow the Commission to review, without prior notice, any and all records relevant to lobbying for a period of three years from the execution of the Stipulation and Order.


Docket No.  1990-2:  In the Matter of a Complaint against the American Association of University Professors – CSU.  The Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, a registered lobbyist, violated CGS § 1-96 by (1) failing to report its fundamental terms of contract for the production of a brochure soliciting others to contact state legislators to request more funding for higher education, and (2), by failing to report its expenditures for such lobbying activities.  Under the terms of the settlement, the Commission ordered and Respondent agreed to pay a civil penalty of $1,000 and to comply with the requirements of the Code of Ethics for Lobbyists.     


Docket No. 1990-1:  In the Matter of a Complaint against Frank Cannatelli. On May 15, 1990, the Commission entered a Notice of Termination of Preliminary Investigation and Results Thereof, and found probable cause to believe that Respondent violated CGS § 1-84 (b ).  The Complaint alleged that Respondent, while a correction officer for the Department of Corrections, provided legal representation to inmates under the jurisdiction of the Department of Corrections, including representation in an action against the Department of Corrections.  By carrying out these activities, Respondent accepted outside employment which is in direct conflict with his state employment resulting in an impairment of his independence of judgment as of his official duties.   Under the terms of the settlement signed by the parties on July 9, 1990, the Commission ordered Respondent to (1) cease and desist from compensated representation of any inmates under the jurisdiction of the Department of Corrections while he is employed at this Department, (2) refrain from accepting or retaining any fee or other payment earned or received in connection with said representation, and to comply with the requirements of the Code of Ethics.    


Docket No. 1989-10:  In the Matter of a Complaint against Owen M. Hayden.  On September 11, 1989, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, while the Chief Maintenance Employee at Somers Correctional Institution, violated CGS § 1-84 (c) by using his state position to obtain financial gain when he referred his private business to a subcontractor performing work under his supervision.  The Complaint further alleged that Respondent violated CGS § 1-84 (b) by accepting outside employment that impaired his independence of judgment as of his official duties, and § 1-86, by failing to disclose this information to his immediate supervisor of the potential conflict between the performance of his official duties and his interest in the private business.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $500 and to comply with the requirements of CGS §§ 1-84 (b), (c), and 1-86.   


Docket No.  1989-9:  In the Matter of a Complaint against Connecticut Soft Drink Association.  The Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, a registered lobbyist, violated CGS § 1-96 by (1) failing to report its fundamental terms of contract with Sullivan and Leshane Public Relations, Inc. for the production and placement of radio advertisements regarding the proposed tax on soft drinks, and (2), by failing to report expenditures for solicitations and/or paid communications regarding the proposed tax on soft drinks.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $1,500 and to comply with the reporting requirements of the Code of Ethics.      


Docket No. 1989-8:  In the Matter of a Complaint against George Greider.  On August 7, 1989, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent violated CGS § 1-84 (i), by entering into a personal service contract valued at $100 or more with the Department of Mental Retardation, where his wife was employed as the Executive Assistant to the Commissioner, without going through the open and public process.   Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $100 and to comply with the Code of Ethics.    


Docket No. 1989-7:  In the Matter of a Complaint against MCI Telecommunications Corporation.  On March 5, 1990, the Commission and Respondent entered into a Stipulation and Order.  The Amended Complaint alleged that in 1988 and 1989, Respondent, a registered lobbyist, violated CGS §§ 1-96 and 1-97 by providing gifts in excess of fifty dollars per person to public officials and state employees, in connection with two golf events, and failed to accurately report these expenses.  The Complaint also alleged that Respondent failed to maintain the necessary documents to substantiate the reported amounts on its financial reports, in violation of CGS 1-96 (a).  Under the terms of the settlement, Respondent admitted to the violations and stated that it relied on its retained lobbying firm for advice on compliance with lobbying laws.  The Commission ordered and Respondent agreed to pay a civil penalty of $10,000, to file complete and accurate reports regarding the events in question, and to comply with the requirements of the Code of Ethics for Lobbyists.       


Docket No. 1989-6:  In the Matter of a Complaint against Robert W. Plage.  On June 26, 1989, the Commission and Respondent entered into a Stipulation and Order.  The Amended Complaint alleged that Respondent, as the Director of Administration and Property Management for the University of Connecticut, used information obtained through holding such office or position to obtain financial gain, in violation of CGS §§ 1-84 (c) and 1-86 (a).  Specifically, the Complaint alleged that Respondent used information about a property offered for sale to the University of Connecticut which resulted in his financial advantage.  Under the terms of the settlement, Respondent agreed to make a charitable payment of $2000 to the UConn Children’s Cancer Fund.  The Commission imposed no penalty but ordered Respondent to henceforth comply with the requirements of §§ 1-84 (c) and 1-86 (a) of the Code of Ethics.       


Docket No. 1989-5:  In the Matter of a Complaint against Jennifer Peplinski Stevens.  On June 5, 1989, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent left her state position at the Department of Environmental Protection and thereafter became employed by The Stanley Works Company (“Company”).  The Complaint further alleged that within a year after leaving state service, Respondent improperly appear before her former agency on behalf of the Company in violation of CGS § 1-84b (b).  The Complaint also alleged that Respondent represented the Company in a matter in which she participated personally and substantially while in state service, in violation of CGS § 1-84b (a).   Under the terms of the settlement, Respondent admitted to unknowingly violating the Code of Ethics.  The Commission ordered, and Respondent agreed, to cease and desist from representing, for one year since she left state service, any private employer before her former agency; to cease and desist from representing the Company with respect to the matter she personally and substantially participated while in state service; and to pay a civil penalty of $1,000. 


Docket No. 1989-4: In The Matter of a Complaint against Faithful and True Roman Catholics.  On April 24, 1989, the Commission and Respondent entered into a Stipulation and Order. The Complaint alleged that in 1988 and 1989, Respondent engaged in lobbying activities without registering with the Commission, in violation of CGS §§1-94 and 1-95.  Under the terms of the settlement, Respondent admitted to the violations.  The Commission ordered and Respondent agreed to register as a lobbyist for the years 1988 and 1989, to file the client lobbyist financial reports required by § 1-96, and to pay a civil penalty of $200. 


Docket No. 1989-2:  In the Matter of a Complaint against Vito Mazza, Jr.  Following a probable cause hearing, the Commission found probable cause to believe that Respondent, a state Representative, violated the Code of Ethics for Public Officials.  The Amended Complaint alleged that Respondent, while an employee of Northeast Bancorp, Inc./Union Trust, participated in the Employees’ Savings and Profit Sharing Plan, and had a financial interest in his employer’s common stocks.  The complaint further alleged that Respondent used his state position as a state representative by speaking and voting in favor of legislation that, if enacted, would have affected and changed Connecticut’s banking laws to benefit his financial interests.  Respondent’s conduct constituted a substantial conflict with the proper discharge of his duties, in violation of §§ 1-84 (a) and 1-85.  On August 14, 1989, following the finding of probable cause, the Commission and Respondent entered into a Stipulation and Order.  Under the terms of the settlement, Respondent was ordered to refrain from speaking on or voting for any legislation in which Respondent had a direct conflict of interests, and to pay a civil penalty of $750 to the Council on Governmental Ethics Laws. 


Docket No. 1988-14:  In the Matter of a Complaint against Senator Cornelius O’Leary.  On December 13, 1988, the Commission and Respondent entered into a Stipulation and Order.  As alleged in the Complaint, Respondent, a member of the General Assembly, violated CGS § 1-83 (b)(2) when he failed to disclose within thirty days fees or honoraria he received from a registered lobbyist.  Under the terms of the settlement, the Commission found that the violation was unintentional and that statement, filed by Respondent before the execution of the Stipulation and Order complied with § 1-83 (b)(2).  The Commission imposed no penalty.    


Docket No. 1988-13:  In the Matter of a Complaint against Senator Reginald Smith.  On December 13, 1988, the Commission and Respondent, a member of the General Assembly, entered into a Stipulation and Order.  The Commission found that Respondent violated CGS § 1-83 (b)(2) by failing to timely file a disclosure statement with the Commission regarding the receipt of a fee or honorarium from a registered lobbyist as alleged in the Complaint.  Under the terms of the settlement, the Commission found that the violation was unintentional and that the required statement, filed by Respondent prior to the execution of the Stipulation and Order, complied with § 1-83 (b)(2).  The Commission imposed no penalty.      


Docket No. 1988-12:  In the Matter of a Complaint against Senator Thomas F. Upson.  On December 13, 1988, the Commission and Respondent entered into a Stipulation and Order.  As alleged in the Complaint, Respondent, a member of the General Assembly, violated CGS § 1-83 (b)(2) when he failed to disclose within thirty days fees or honoraria he received from a registered lobbyist.  Under the terms of the settlement, the Commission found that the violation was unintentional and that statement, filed by Respondent before the execution of the Stipulation and Order complied with § 1-83 (b)(2).  The Commission imposed no penalty.  


Docket No. 1988-11: In the Matter of a Complaint against Pfizer, Inc.  On December 13, 1988, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, a registered lobbyist, violated CGS § 1-96 (b) by failing to report expenditures for the benefit of an itemizable person on its periodic financial reports.  Under terms of the settlement, the Commission found that the violation was unintentional.  Respondent was ordered to amend its client lobbyist financial reports to disclose any previously unreported fees, honoraria or expenses incurred in lieu of honoraria paid during the past three years, to pay a civil penalty of $1,000, and to comply with the Code of Ethics for Lobbyists.    


Docket No. 1988-10: In the Matter of a Complaint against Elba Pagano.  On December 13, 1988, the Ethics Commission and Respondent entered into a Stipulation.  The Amended Complaint alleged that between 1986 and 1988, Respondent, as the Chief Court Interpreter, used her state position for financial gain for her spouse and/or business with which she was associated, in violation of CGS § 1-84 (c).  More particularly, the complaint alleged that Respondent had employees of the Chief Court Interpreter’s Office refer individuals needing interpreting services which the State would not provide to Interpreters and Translators, Inc., her husband’s business.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $1,000 and to comply with the Code of Ethics.   


Docket No. 1988-9:  In the Matter of a Complaint against W. Lee Palmer.  On June 6, 1988, the Commission and Respondent entered into a Stipulation and Order.   The Complaint alleged that in 1987, while Respondent was the Director of Leasing and Property Transfer of the Department of Public Works, he either participated substantially in or supervised the negotiation or award of a state contract with Hartford Square Associates.  The complaint further alleged that Respondent, within a year of the signing of that contract, began employment with Hartford Square North Associates Limited Partnership, in violation of CGS § 1-84b (d). The Complaint also alleged that, prior to departing state service, Respondent used his public office to obtain financial gain when he sent the Insurance Commissioner to inspect office space at  Hartford Square North in order to enhance employment prospects with Hartford Square, in violation of CGS § 1-84 (c). Under the terms of the settlement, Respondent admitted he violated CGS § 1-84b (d) and agreed to pay a civil penalty of $1,000, to terminate his consulting agreement with Hartford Square North Associates Limited Partnership, and to comply with the requirements of § 1-84b.  The Commission dismissed the allegations relating to § 1-84b (c) for lack of sufficient evidence.     


Docket No. 1988-8:  In the Matter of a Complaint against John Farrell.  On July 11, 1988, the Ethics Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that in 1987, Respondent violated CGS §1-96 by failing to report expenditures for administrative lobbying on the client’s third and fourth quarter lobbyist reports for 1987.   Under the terms of the settlement, the Commission found that Respondent’s violation was not intentional, knowingly or willful.  Respondent was ordered to file amended communicator lobbyist financial reports for the corresponding periods, to pay a civil penalty of $750, and to comply with the reporting requirements of the Code of Ethics for Lobbyists.     


Docket No. 1988-7:  In the Matter of a Complaint against Wallace Lohr.  On July 11, 1988, the Ethics Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that in 1987, Respondent violated CGS §1-96 by failing to report expenditures for administrative lobbying on the client’s third and fourth quarter lobbyist reports for 1987.   Under the terms of the settlement, the Commission found that Respondent’s violation was not intentional, knowingly or willful.  Respondent was ordered to file amended communicator lobbyist financial reports for the corresponding periods, to pay a civil penalty of $2,000, and to comply with the reporting requirements of the Code of Ethics for Lobbyists.


Docket No. 1988-6: In the Matter of a Complaint against Blue Cross and Blue Shield of Connecticut, Inc.  On July 11, 1988, the Commission and Respondent entered into a Stipulation and Order.  The Amended Complaint alleged that in 1987 Respondent, a registered lobbyist, provided gifts in excess of the $50 limit to public officials and their immediate families in violation of CGS § 1-97(a).  The Complaint further alleged that Respondent failed to fully report these gifts on its third and fourth quarter lobbying reports for 1987, in violation of CGS §1-96. Under the terms of the settlement, the Commission ordered and Respondent agreed to file amended lobbyist financial reports and to pay a civil penalty of $7,000.     


Docket No. 1988-5: In the Matter of a Complaint against Donald Berkowitz.  On June 6, 1988, the Ethics Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that in 1987, Respondent violated CGS §§ 1-94 and 1-95 by engaging in lobbyists activities on behalf of the Connecticut Hospital Association (“CHA”) without registering as a lobbyist.   Under the terms of the settlement, the Commission ordered Respondent to register as a lobbyist on behalf of CHA, to file the required communicator lobbyist financial reports, to pay a civil penalty of $500, and to comply with the registration requirements of the Code of Ethics for Lobbyists.      


Docket No. 1988-3: In the Matter of a Complaint against Connecticut Hospital Association.  On June 6, 1988, the Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that in 1987, Respondent, a registered lobbyist, failed to report any of its expenditures for administrative lobbying as well as  activities in furtherance of legislative lobbying, in violation of General Statues § 1-96.  Under the terms of the settlement, Respondent admitted to the violation. The Commission ordered Respondent to file amended lobbyist financial reports, to pay a civil penalty of $4,000 and to comply with the reporting requirements of the Code of Ethics for Lobbyists. 


Docket No. 1988-2: In the Matter of a Complaint against Stephen Frayne.  On June 6, 1988, the Ethics Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that in 1987, Respondent violated CGS §§ 1-94 and 1-95 by engaging in lobbyists activities on behalf of the Connecticut Hospital Association (“CHA”) without registering as a lobbyist.   Under the terms of the settlement, the Commission ordered Respondent to register as a lobbyist on behalf of CHA, to file the required communicator lobbyist financial reports, to pay a civil penalty of $500, and to comply with the registration requirements of the Code of Ethics for Lobbyists.     


Docket No. 1987-4: In the Matter of a Complaint against Robert B. Cohen.  On June 6, 1988, the Ethics Commission and Respondent entered into a Stipulation and Order.  The Complaint alleged that in 1987, Respondent violated CGS §§ 1-94 and 1-95, by engaging in lobbyists activities on behalf of Celavon Corporation (“Celavon”) without registering as a lobbyist for Celavon with the Commission.   Under the terms of the settlement, the Commission ordered Respondent to register on behalf of Celavon, to file the required communicator lobbyist financial reports, and to henceforth comply with the Code of Ethics for Lobbyists.     


Docket No. 1987-3: In the Matter of a Complaint against Mary Beth Campbell.   On November 24, 1987, the Commission entered a Notice of Termination of Preliminary Investigation and Results Thereof and found probable cause to believe that Respondent violated CGS §§ 1-84 (a), (b) and (c).  The Complaint alleged that in 1984 and 1985, the  Respondent, while a supervisor in the Vital Records Division of the Connecticut Department of Health Services researched information concerning vital records, which she had access to by reason of her official duties and state position, and sold it to a private company for financial gain.  By carrying out these activities, Respondent accepted outside employment which impaired her independence of judgment as to her official duties and used her public position to obtain financial gain for herself.  Following the Commission’s finding of probable cause, the Department of Health Services suspended Respondent from her job for three weeks without pay.  In light of Respondent’s suspension by her employer, under the terms of the Stipulation signed by the parties on September 19, 1988, the Commission imposed no further penalties, but ordered that Respondent to henceforth comply with the Code of Ethics for Public Officials.    


Docket No. 1987-2: In the matter of a Complaint against Milton Levine.  On June 2, 1987, the State Ethics Commission entered a Notice of Termination of Preliminary Investigation and Results and found probable cause to believe that Respondent violated the Code of Ethics for Public Officials.  The Complaint alleged that Respondent  failed to disclose on his Statement of Financial Interests for the years 1984 and 1985, the name of a company with which he was associated, thereby violating CGS §§1-83 (a) and 1-83 (b)(1)(A).  The Commission found that Respondent’s violations were not to conceal the association but poor judgment in failing to seek legal advice as to how to file an accurate form.  The Commission ordered Respondent to pay a civil penalty of $100 for each violation, for a total of $200.      


Docket No. 1986-4: In the Matter of a Complaint against Peter F. Burns.  On December 15, 1986, the State Ethics Commission (“Commission”) and Respondent entered into a Stipulation and Order.  The Complaint alleged that Respondent, while the Deputy Commissioner of the Connecticut Department of Economic Development (“Department”), violated CGS § 1-84 (c) by using his public office and state position to obtain financial gain for himself.  Specifically, Respondent conducted business with entities that had benefited from the aid and assistance of the Department and with which the Department had an on-going relationship when he traded in his vehicle and bought a used vehicle through a program designated and operated to offer discounts on new and company used cars to certain groups of individuals.  Under the terms of the settlement, the Commission found that the violations were unintentional.  In view of Respondent’s full cooperation in the matter, his previous suspension by the Governor relative to this incident, and his charitable payment equal to the amount of improper financial gain received with respect to the transactions in issue, the Commission imposed no penalties.   


Docket No. 1986-3: In the Matter of a Complaint against Meredith Savage.  On March 24, 1987, the State Ethics Commission (“Commission”) and Respondent entered into a Stipulation and Order.  The Amended Complaint alleged that Respondent, a Nursing Home Ombudsman in the Department on Aging, entered into an agreement with the State Conservator to purchase the vehicle of a client, whose case she had worked on in her official capacity, with the intent to restore and resell it.  Respondent’s actions violated CGS § 1-84 (b), by accepting outside employment which impaired her independence of judgment as of her official duties; § 1-84 (c) by using her public office or position, or confidential information received through holding such office of position to obtain financial gain; and § 1-84 (i), by entering into a contract with the State, valued at one hundred dollars or more, without an open and public process.  Under the terms of the settlement, Respondent was ordered to pay a civil penalty of $2,000 with $1,000 suspended in recognition of Respondent’s cooperation in settling the matter.    


Docket No. 1986-2: In the Matter of a Complaint against Cigna Corporation.  On November 3, 1986, the State Ethics Commission (“Commission”) and Respondent entered into a Stipulation and Order.  The Complaint alleged that on June 21, 1986, Respondent, a registered lobbyist, violated CGS § 1-97(a) seventeen times by providing gifts in food and beverage in excess of the $49.99 per person limit to nine public officials and eight spouses.  Under the terms of the settlement, the Commission found that Respondent’s violations were technical and not intentional or willful.  Respondent was ordered to pay a civil penalty of $50 for each violation for a total penalty of $850.

Docket No. 1986-1: In the Matter of a Complaint against Richard Nicoll.  Following a probable cause hearing, the State Ethics Commission (“Commission”) found that there was probable cause to believe that Respondent violated CGS §§ 1-84, 1-85, and 1-86.   The Complaint alleged that Respondent, a State Worker’s Compensation Administrator, engaged in activities that resulted in a substantial conflict with the proper discharge of his duties and responsibilities.  Specifically, Respondent failed to recuse himself from taking official action on his own worker’s compensation claim which resulted in his financial advantage.  Pursuant to General Status §1-88 (d), after failed negotiations to settled the matter, the Commission referred the matter to the Office of the Attorney General for further disposition in accordance with CGS § 1-89 (c).      


Docket No. 1985-3:  In the Matter of a Complaint against Eugene A. Migliaro, Jr.  The State Ethics Commission and Respondent, a State Representative, entered into a Stipulation and Order.  On September 26, 1985, the Commission found that there was probable cause to believe that Respondent violated the Code of Ethics for Public Officials by failing to file an accurate Statement of Financial Interests (“SFI”) for the calendar years 1982 and 1983.  The Complaint alleged that Respondent failed to disclose receipt of income in excess of one thousand dollars from “legalized gaming” in 1982 and 1983 in violation of CGS § 1-83 (b)(1)(B).  Under the terms of the settlement, the Commission found that the violations were not intentional or willful, but that Representative Migliaro had been “negligent in observing the relevant requirements of the Code of Ethics.”  The Commission did not impose a civil penalty, but ordered Respondent to amend his Statements of Financial Interests accordingly and to comply with the requirements of General Status § 1-83.     


Docket No. 1985-1:  In the Matter of a Complaint against Douglas Hanahan.  Following a probable cause hearing in which the State Ethics Commission (“Commission”) found there was probable cause to believe that Respondent violated the Code, the Commission and Respondent entered into a Stipulation and Order.  At the probable cause hearing, the Commission found probable cause to believe that from approximately May 1, 1982, until approximately January 21, 1985, Respondent, a State Police Lieutenant, violated CGS § 1-84 (c) by using his state position for his own financial gain.  Specifically, the Commission found probable cause to believe that Respondent used his access to state police investigative files – files which were not available to the public – to author a book.  In addition, Respondent marketed the book by touting his access to such non-public files, and his use of detailed and explicit information that he had gained from such access, in authoring the book.  However, in settling the matter, the Commission found that Respondent’s violation was not intentional or willful.   Respondent admitted that his conduct violated the Code, but that he used no confidential information and that the book contained only fictionalized composites of crimes.  Under the terms of the settlement, the Commission, in lieu of any other action it was authorized to take, ordered Respondent to comply with the requirements of § 1-84 (c) of CGS and imposed no penalties.  The Commission also stated that Respondent could not use his state position in promoting the book, but could identify himself as a state police lieutenant.    


Docket No. 1984-1:  In the Matter of a Complaint against Abraham Giles.  On April 6, 1984, the State Ethics Commission (“Commission”) and Respondent, a state representative, entered into a Stipulation and Order.   On its meeting of March 7, 1984, the Commission found probable cause to believe that Respondent violated the Code of Ethics for Public Officials by using his state position for financial gain.  The Complaint alleged that on February 17, 1984, Respondent violated CGS § 1-84 (c) when he produced and mailed letters on his official stationery and bearing his official title and position to solicit business for a business with which he was associated.  Under the terms of the settlement, the Commission found that the violation was not intentional and ordered Respondent to pay a civil penalty of fifty dollars. 


Docket No. 1982-3: In the Matter of a Complaint against Everett O’Keefe.  On May 6, 1983 the State Ethics Commission and Respondent, a Superintendent of a state hospital and a State Retirement Commissioner, entered into a Stipulation and Order. Following a confidential probable cause hearing, the Commission found probable cause to believe that Respondent violated the Code of Ethics for Public Officials as alleged in the Complaint.  The Complaint alleged that, after being appointed as a State Retirement Commissioner, Respondent presented the Retirement Commission with a request to purchase retirement credit – a request that had been denied by the Retirement Commission on two occasions prior to Respondent’s appointment to the Commission.  The Complaint further alleged that Respondent participated in the Retirement Commission meeting that resulted in the approval of his application for purchase of early retirement.  Under the Stipulation and Order, Respondent admitted that “in hindsight,” his conduct violated CGS § 1-84 (c), prohibiting the use of office for financial gain.  The Commission found that these violations were not intentional.   Under the terms of the settlement, Respondent agreed to ask the Retirement Commission reconsider his application for retirement credit.  No civil penalty was imposed.    


Docket No. 1982-1: In the Matter of a Complaint against Connecticut Yankee Greyhound, Inc.  On April 22, 1982, the State Ethics Commission and Respondent entered into a Stipulation and Order.  On April 14, 1982, following a probable cause hearing, the Commission found probable cause to believe that Respondent, a registered lobbyist, committed fifty-six violations of the Code of Ethics for Lobbyists:  (a)  sixteen gifts of over $25 to public officials or their spouses, in violation of CGS § 1-97(a); and (b)  forty incidents of the  Respondent’s failure to disclose an expenditure for the benefit of a public official, in violation of CGS § 1-96 (b).  The Commission found that these violations were not intentional but that Respondent and its officer had been “extremely negligent.”  Under the terms of the settlement, Respondent was ordered by the Commission to revise its financial reports concerning its lobbying activities and to pay a civil penalty of $11,000.     


Docket No. 1980-1: In the Matter of a Complaint against James S. Peters II.  On October 1, 1980 the former State Ethics Commission (“Commission”) and Respondent entered into a Stipulation and Order.  The  Commission determined that there was probable cause to believe that in 1978 Respondent, the Associated Commissioner in the State Department of Education, violated CGS § 1-84 (c) by participating in the award of a grant for the benefit of Camp Bennett, an asset which was owned by a business with which he was associated.  The Commission also determined that there was probable cause to believe that Respondent violated CGS § 1-86, which required that he disclose the conflict of interest to his immediate supervisor prior to taking any official action on the grant  request.  Under the terms of the settlement, Respondent stated that he was unaware of the requirements of § 1-86.  Nevertheless, the Commission found that Respondent showed “unusually poor judgment.”  The Commission imposed a civil penalty of $750. 


Docket No. 1979-12:  In the Matter of Representative Paul A. LaRosa.   The Commission and Respondent entered into a Stipulation and Order in resolution of a Complaint filed by a member of the public.  In the Complaint, it was alleged that Representative LaRosa used his official state representative stationery, bearing indicia of his office as a State Representative, to send out letters to lobbyists and public officials notifying them of the opening of Casa Loma Restaurant, a business with which Representative LaRosa was associated, in violation of CGS § 1-84 (c).  Both Representative LaRosa and his son Anthony LaRosa, holders of proprietary interests in the restaurant business, signed the letters. In the Stipulation and Order, the Commission found that the violation was not willful or intentional.  Respondent agreed to reimburse the cost of the mailings and to pay a civil penalty of $250.  Representative LaRosa further agreed to comply in future with the provisions of CGS § 1-84 (c).   


Docket No. 1979-4:  In the Matter of The American Can Company.   On May 10, 1979 the Commission and Respondent entered into a Stipulation and Order, resolving the Complaint in this matter. In an April 1979 Complaint filed by a member of the public, it was alleged that The American Can Company had filed its required quarterly lobbyist financial report seven days late, on April 17, 1979, in violation of CGS § 1-96.  Under the settlement, Respondent waived its right to a hearing and agreed to pay a fine of $50.00.     


Docket No. 1979-3:  In the Matter of Connecticut Beverage Industries.   The Commission and Respondent entered into a Stipulation and Order, resolving a Complaint filed by a member of the public, resolving allegations that Connecticut Beverage Industries had engaged in lobbying without registering with the Commission when it purchased advertisements to be aired in the broadcast media attempting to influence legislation known as “the Bottle bill” in violation of CGS §§ 1-94 and 1-95 (a).  Respondent agreed to pay a civil penalty in the amount of $340.00 and register as a lobbyist.       


Docket No. 1979-2:  In the Matter of Connecticut Citizens for Decency (“CCD”).   On August 3, 1979 the Commission and Respondent entered into a Stipulation and Order in resolution of a Complaint against CCD.  The Complaint, filed by a member of the public, alleged that Connecticut Citizens for Decency engaged in lobbying without a registration, in violation of CGS §§ 1-94 and 1-95, when it purchased two advertisements in The Hartford Courant urging the public to contact legislators to support a particular candidate for the State Board of Education.  The Commission found that the violation was unintentional and imposed no penalty.      


Docket No. 1979-1:  In the Matter of Lobby against Raising the Drinking Age (“LARDA”).   The Ethics Commission and LARDA entered into a Stipulation and Order on May 15, 1979 in resolution of a Complaint filed by a member of the public.    The Complaint alleged that LARDA engaged in lobbying without first registering with the Commission, in violation of CGS §§ 1-94 (b) and 1-95 (a).  Under the terms of the settlement, Respondent properly registered and agreed to comply with all provisions of Chapter 10, Part I, Connecticut CGS.  The Commission found that the violation was not willful or intentional, and imposed no penalty.




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