DOB: Index - Administrative Orders and Settlements

Administrative Orders and Settlements

Please note: When viewing administrative orders posted on the Internet, please recognize that some orders may involve allegations that may be contested in a hearing and that are not yet resolved.  Such administrative proceedings may, in the end, be resolved in favor of the firm or individual or they may be concluded through a negotiated settlement with no admission of wrongdoing.  The documents posted on this Web site are not official copies.  If an official copy is needed, please contact the agency.  For more information on a particular order or settlement, you may contact the department via E-mail or by calling (860) 240-8170.  

Read more about the department's enforcement of laws under its jurisdiction. 

Recent Administrative Orders
and Settlements

Trident Asset Management L.L.C. - May 30
   d/b/a Trident AM. L.L.C.
Orion Portfolio Services, L.L.C.
OPS 9, L.L.C

Aldous & Associates PLLC - May 24
d/b/a Aldous & Associates LLC


Endeavor Management Solutions, LLC - May 21
Doyle, James Ward

Bakitas, Thomas Michael - May 17
DRBS Algorithm, LLC

Rejda, Troy - May 17

Blaine Capital, LLC - May 15

AFT Logistics, LLC n/k/a Equity One Contractors LLC - May 2
Freeman, Brandi
Johnson, Javeir

Moreau Investment Management Company - May 2

RMMG, LLC - May 2
a/k/a Residential Mortgage
Modification Group, LLC

Earnest Home LLC - May 1
d/b/a Earnest

Search for Orders and Settlements

You may search for particular administrative orders and settlements posted on the Internet, archived to 2006.

Lists of agency actions and settlements

Consumer Credit

Concerning: check cashers, collection agencies, debt adjusters, debt negotiators, mortgage lenders and loan brokers, money transmitters, mortgage originators, sales finance companies and small loan lenders

Financial Institutions

Concerning: banks, bank officers and directors, credit unions

Securities and Business Investments

Concerning: agents of issuer, broker-dealers, broker-dealer agents, business opportunities, investment advisers, investment adviser agents, issuers, other respondents