DOB: 2017 Securities Administrative Orders and Settlements

Securities and Business Investments Division
2017 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.


Benjamin F. Edwards & Company, Inc. - July 10

Cantone Research Inc. - August 28 
Polakoff, Victor

Cantor Fitzgerald & Co. - January 5

Gray, Robert Lawrence - July 13

Hershman, Peter D. - March 27

Meyers Associates, L.P. - May 15

Omniview Capital Advisors, LLC - February 17
Omni View Capital LLC
Discala, Abraxas J.

Pettit, James Albert - May 15
 
Rafal, John William - January 26

RPM Capital Management, LLC - June 19
Newland, Michele Mary

Signal Lake General Partner LLC - June 27
Signal Lake Management, LLC
Signal Lake Side Fund, L.P.
Signal Lake Side Fund II, L.P.
Signal Lake Side Fund IIA, L.P.
Stuck, Barton W.

Sovereign State Depository Inc. - July 18
Reddy, Walter B. III
 
Swayze, Ashleigh Cooper - April 21
 
Threshie, John L. Jr. - September 22
Tirex Corporation (The)


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