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
Freeman, Brandi
Johnson, Javeir
  
Allied Energy, Inc. f/k/a Allied Syndications, Inc. - April 25
SE Ohio Shale & Oriskany Development
 
Augment Securities Inc. - March 19

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

Connolly, Arthur - January 19 - January 31

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
Doyle, James Ward
 
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
Leland Tennessee Holdings, Inc.
Opportunity Drilling & Acquisition Fund, LLP
Stephen M. Thompson

Moreau Investment Management Company - May 2 
 
Pearson and Associates, LLC - March 19

Pinheiro, John A. - June 5 
 
R & R Wealth Strategies, LLC - April 20

Rejda, Troy - May 17

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
  
Voya Financial Advisors, Inc. - April 23

Wilbanks Securities, Inc. - June 7
 
Woodard, Matthew Charles - March 23
Toppikgink 539, LLC
  


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