DOB: 2011 Securities Division Administrative Orders and Settlements

Securities and Business Investments Division
2011 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 department’s Verify a License page.


A&F Financial Securities, Inc. - July 18

ACAE, L.L.C. - June 14
Kondracki, Michael George Sean
Liu, Judy Bao-Shan

Banco Espírito Santo S.A. - March 3
Espírito Santo e Comercial de Lisboa, Inc.

Blackwelder, Julius - June 30 - December 5
d/b/a Friend's Investment Group

Britnell, Alexander Hamilton - October 14

Buchholz, Gregory James - May 11 - June 27

Charles Morgan Securities, Inc. - May 5

Charles Schwab & Co., Inc. - January 31
Charles Schwab Investment Management, Inc.

CherryHomes Joint Venture - February 16 - May 20 - August 26
MidAmerica Resources, Inc. a/k/a MA Resources, Inc. - February 16 - May 20 - August 26
Hanscome, Thomas C. - February 16 - September 23
Air-Byrd/River Joint Venture - February 16 - May 20 - August 26
Air-Byrd Operations LLC - February 16 - May 20 - August 26
Brooks, Lance David - February 16 - May 20 - August 26
Regal Royalty Resource - February 16 - May 20 - August 26

Cynergy Advance Services, LLC - January 19 - March 25 - March 31
Richard, Shelly A. - January 19 - March 25 - April 1

David Lerner Associates, Inc. - January 11

Dvorznak, Daniel - July 18

Eckstein, Phil - April 20 - June 24

EKN Financial Services, Inc. - October 14

Grosvenor Partners, Ltd., - February 14
a/k/a Aster Associates

Hen, Aviv Michael - April 19

Humphrey, Daniel Quentin - March 4 - November 10
Finity Financial Group, LLC - March 4 - November 10
Waterford Loan Fund, LLC - March 4 - November 10
Oasis Properties I, LLC - March 4 - November 10
Wilson, Scott L. - March 4 - November 10

John Thomas Financial - October 18

Magic Plunger, LLC (The) - July 14
John, Jerold L.
Thorp, Dale N.

Merrill Lynch, Pierce, Fenner & Smith Incorporated - April 6

Meyers Associates, L.P. - June 14

Morgan Asset Management, Inc. - December 13
Morgan Keegan & Company, Inc.

Mortgage and Credit Solutions, LLC - January 11 - June 22
Moriarty, Sean Patrick

Movies for a Better World, LLC - October 28
Martineau, Michael J.

Newbridge Securities Corporation - April 15 - November 10

Paydici, Inc. - February 24

Point Stratford Development, LLC - December 12
f/k/a Hollywood East/Area 51, LLC
Natera, Hector
Cuccaro, Yvette

S&E Investment Group - February 17

Salomon Whitney LLC - March 4

Spear Capital Management, Inc. - June 14

Tsikitas, Nicholas George - July 18

Wadsworth Investment Co., Inc. - June 1 
Portfolio Timing Service d/b/a PTS Asset Management - June 1 - September 19
Wadsworth, William F.
Wadsworth, William F., Jr. - June 1 - September 19

WebSafety, Inc. - February 14
f/k/a Blindspot Alert, Inc.
f/k/a Promotions on Wheels Holdings, Inc.

Weiss, Douglas S. - August 9

Westrock Advisors, Inc. - January 10 - January 20


 


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