Regulatory AlertsEnforcement regulation in Connecticut
Enforcement actions, penalties, license withdrawals and supervisory sanctions against named parties. 724 publications, summarized in English and updated same-day.
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2026-07-24
Bulletin 3257 - July 24, 2026
Connecticut
CTDOB
2026-07-03
Stipulation and Agreement with Worcester County Fiduciary Advisors, Inc.
Connecticut
CTDOB
2026-06-26
Bulletin 3253 - June 26, 2026
Connecticut
CTDOB
2026-06-19
Consent Order Regarding I.Q. Data International, Inc.
Connecticut
CTDOB
2026-06-12
Consent Order - Omnipoint Management Solutions LLC
Connecticut
CTDOB
2026-03-31
Spring 2026 Securities Bulletin
Connecticut
CTDOB
2025-12-31
Winter 2025 Securities Bulletin
Connecticut
CTDOB
2025-10-31
Bulletin 3219 - October 31, 2025
Connecticut
CTDOB
2025-10-17
Stipulation and Agreement with Osaic Wealth, Inc. Regarding Unregistered Investment Adviser Agent
Connecticut
CTDOB
2025-10-10
Consent Order No. CO-25-202525-S: Edward D. Jones & Co., L.P.
Connecticut
CTDOB
2025-10-03
Bulletin 3215 - October 3, 2025
Connecticut
CTDOB
2025-09-30
Fall 2025 Securities Bulletin
Connecticut
CTDOB
2025-09-26
Bulletin 3214 - September 26, 2025
Connecticut
CTDOB
2025-09-19
Bulletin 3213 - September 19, 2025
Connecticut
CTDOB
2025-09-12
Consent Order Regarding Fresh Start Funding, LLC d/b/a Open Wallet
Connecticut
CTDOB
2025-09-05
Consent Order - Aegis Capital Corp.
Connecticut
CTDOB
2025-08-22
Bulletin 3209 - August 22, 2025
Connecticut
CTDOB
2025-08-01
Consent Order Imposing Sanctions on Extreme Loans LLC and Control Persons
Connecticut
CTDOB
2025-07-25
Bulletin 3205 - July 25, 2025
Connecticut
CTDOB
2025-07-18
Bulletin 3204 - July 18, 2025
Connecticut
CTDOB
2025-07-11
Bulletin 3203 - July 11, 2025
Connecticut
CTDOB
2025-07-04
Order to Cease and Desist and Civil Penalty Against Healthcare Finance Direct, LLC
Connecticut
CTDOB
2025-06-30
Summer 2025 Securities Bulletin
Connecticut
CTDOB
2025-06-27
Bulletin 3201 - June 27, 2025
Connecticut
CTDOB
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