DOB: 2008 Securities Division Administrative Orders and Settlements

Securities and Business Investments Division
2008 Administrative Orders and Settlements


Enforcement Home Page

For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170. 

Important Note: Securities Conditional Registrations are not listed on this page. For information on conditional registrations, please visit the departmentís Verify a License page.



4 L.I.F.E., Inc.  -  October 10
Terry Mayfield
 
Axiom International Investors LLC - February 19

Baffa, Brett Anthony - February 22

Basic Investors Inc. - September 22

Bayou Technologies, Inc.  -  April 3
Steven O. Canady
 
Blue Coast Financial Group, Inc.  -  May 5
a/k/a Questar Financial Group

Blue Coast Financial Group, Inc. - November 5
Hull, Lindsay
Hull, Shawn

Brennan, Kevin Patrick - March 24

Cohan, Jeffrey Alan - June 3

Digi-Pin, LLC f/k/a Digipin LLC - September 12

Divel, George Lemuel, III - August 5

Ecosol Solar Technologies Inc. - May 8

Excel Securities & Associates, Inc. - July 22
 
Grove, Kenneth Henry  -  March 18  -  April 9
 
Hinkley, Jesse John - December 1

Java's Brewin Development, Inc.  -  May 30  -  June 23  -  October 8
 
Key Resource Group, LLC  -  January 31  -  September 29
Lucas, Dale C.  -  January 31  -  September 29
Kilgariff, Russell  -  January 31  -  September 29
McNaul, Michael J.  -  January 31  -  September 29
Duboise, Mark T.  -  January 22  -  September 29
Bay, Mike  -  January 31  -  September 29
Phillips, George  -  January 31  -  September 29
Hunter, Greg  -  January 22  -  September 29
Folkinga, Ronald  -  January 31  -  September 29
Deaton, Mark  -  January 31  -  September 29
 
Konior, Jason John  -  January 28  -  July 11
 
Liberatore, Louis John, Sr.  -  February 20
 
Maiure, Michael James  -  February 6  -  February 27  -  August 28
 
Managers Distributors, Inc.  -  August 11
Peter Michael Lebovitz
Thomas Grant Hoffman
 
Markland Technologies, Inc.  -  August 15  -  October 6  -  December 2
Chad A. Verdi  -  August 15
 
Morton, Steven G.   -  January 30
Oxford Micro Devices, Inc.
 
Multivend, LLC d/b/a Vendstar  -  August 15
 
New Castle Financial Services LLC - August 18

One Key LLC - May 27

Puccerella, Albert Robert  III  -  January 29
a/k/a John Higgins
 
Reilly, Michael M.  -  June 27

Source Capital Group, Inc. - April 28

Southridge Capital Management LLC v. Pitkin - August 18
Memorandum of Decision and Judgment
(PDF file; file size 1.05 MB)
Notice of Appeal - September 8
(PDF file; file size 1 MB)

Spoor, T. Richard - May 9

Traptek, LLC (n/k/a Cocona, Inc.) - March 25
 
Vision Travel, Inc.  -  August 15  -  October 6  -  November 5
a/k/a Global Vision Travel
 
Westrock Advisors, Inc. - September 4

Wyllins, Raymond d/b/a  -  August 25  -  November 13
Finishmasters Refinishing
 

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