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
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
Earlier Years: 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003