DOB: 2018 Securities Division Administrative Orders and Settlements

Securities and Business Investments Division
2018 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.


AFT Logistics, LLC n/k/a Equity One Contractors LLC - May 2 - June 28 - July 25
Freeman, Brandi - May 2 - June 28 - July 25
Johnson, Javeir - May 2 - June 28 - July 25
 
Allen, Trevor M., Sr. - July 13
 
Allied Energy, Inc. f/k/a Allied Syndications, Inc. - April 25 - June 28  - August 10
SE Ohio Shale & Oriskany Development  - April 25 - June 28 - August 10 
  
Augment Securities Inc. - March 19

Bakitas, Thomas Michael - May 17  - September 10
DRBS Algorithm, LLC
 
Blaine Capital, LLC - May 15 
 
CE Capital Limited - January 19 - January 31

Connolly, Arthur - January 19 - January 31
  
Downing, John Mark - September 13
f/k/a Eseppi, John Mark
  
Dubiel, Walter John - July 12
 
Empire Wine & Liquor Superstore CT, LLC - April 17
Empire Wine & Liquor Superstore, LLC
Belmonte, Brandon
Belmonte, Judith A.
Ravage, Marc B.

Endeavor Management Solutions, LLC - May 21 - June 9 - July 31
Doyle, James Ward - May 21 - July 6 - July 31 

Evans, John W. - January 2
d/b/a Evans Technology Holding Company
Evans, Bonnie A.
 
Hanley & Associates, LLC - February 23
 
Hunjo LLC - April 27

Leland Energy, Inc. - June 7 - July 28 - August 29
Leland Tennessee Holdings, Inc. - June 7 - July 28 - August 29
Opportunity Drilling & Acquisition Fund, LLP - June 7 - July 28 - August 29
Stephen M. Thompson - June 7 - July 28 - August 29
  
Moreau Investment Management Company - May 2 
 
Pearson and Associates, LLC - March 19

Pinheiro, John A. - June 5  - September 18
 
Polakoff, Adele Millicent - August 20
 
ProEquities, Inc. - July 20
 
R & R Wealth Strategies, LLC - April 20

Rejda, Troy - May 17
 
Sakelarakis, Christopher - July 31 - August 28 
 
Scott, Ralph Upton - July 5
 
SF Investments, Inc. - March 21

Stuck, Barton W. - May 2
Signal Lake Management, LLC
Signal Lake Side Fund, L.P.
Signal Lake Side Fund II, L.P.
Signal Lake Side Fund IIA, L.P.
Signal Lake General Partner LLC
     
Vir-Sec, Inc. - July 20
Murphy, Christopher
 
Voya Financial Advisors, Inc. - April 23
 
Waterfund LLC - June 19
Waterfund Energy Terminals I LLC
Waterfund Energy Terminals II LLC
 
Wilbanks Securities, Inc. - June 7 - July 13 
  
Woodard, Matthew Charles - March 23
Toppikgink 539, LLC
  


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