Securities and Business Investments Division
2006 Administrative Orders and Settlements 

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.


Alpine Securities Corporation  -  May 19  -  July 14

Anthem Asset Management, LLC - May 12

Asset & Financial Planning Ltd. - July 14

Bayou Securities, LLC  -  January 9

Berman, Michael S.  - April 19
d/b/a First Capital Unlimited (F.C.U.)

Black Diamond Research, LLC - January 17

CHF Technologies, Inc.  -  January 4
Gerald Grayson
Grayson & Associates, Inc.
Douglas Miscoll
Ravello Partners, LLC

Candy King of America, Inc.  -  April 26

Carrington Capital Management, LLC - October 19

Charter One Capital Holding, Inc.  -  April 27  -  June 1  -  August 14

Comprehensive Capital Management, Inc. - February 2

Constantinou, Andrew Savvas  -  May 19  -  August 10

Crystal Sky Enterprises, LLC  -  November 21
Christina E. Foster

Desiderio, Stephen Roy  -  April 27  -  June 15  -  August 14

Dever, Justin Matthew  -  May 4  -  September 20

Feibus, Terry Lee  -  June 6  -  November 6

Friends With Benefits, Limited Partnership - September 11

Geek Securities, Inc.  -  January 9

Gladstone, Stanley L.  -  April 26

Granite Securities, LLC - March 3
Gray, Steven  -  March 2

GunnAllen Financial, Inc. - March 13

Harbor Financial Services, LLC - May 31

Haynes, Steven Hadley  -  April 6  -  September 21

Huntington Investment Company (The) - August 29

Independent Securities Investors Corporation  -  January 5  -  April 17

International Vacations, Ltd.  -  May 19  -  June 15  -  September 29

Jefferies & Company, Inc. - September 8

Lamonica, Ernest P.  -  February 9
Digital Entertainment Corp.
Pacific Rim Investment Partners
   Ernest P. Lamonica  -  March 30  -  May 19
   Digital Entertainment Corp.  -  March 10  -  May 19
   Pacific Rim Investment Partners  -  March 30  -  May 19

Lorcom Technologies, Inc. - October 3

Meeting Street Brokerage, LLC - May 17

Merrill Lynch, Pierce,  -  November 22
Fenner & Smith Incorporated

Morton, Steven G.  -  November 22

Oxford Micro Devices, Inc.

PIPS Incorporated  -  January 24  -  March 14  -  April 17

Pratt, Donald Chapman - April 7

Provectus Pharmaceuticals, Inc. - August 7
Venture Catalyst, LLC
Leslie Neil Bocskor

Quirk, Dennis Michael  -  January 4
d/b/a United Resources Group 

Regal Nails, LLC - November 28

Roll-A-Cover, LLC  -  October 18
Michael P. Morris

Sharma, Kautilya  -  January 9
a/k/a Tony Sharma

Shimoda Capital Advisors Limited - October 16

Stralem & Company, Incorporated - April 11
Stralem Fund

Tax Recovery Group, Inc.  -  May 19  -  June 23  -  September 27

Thomas Weisel Partners LLC  -  April 5

UVest Financial Services Group, Inc. - March 3

V. W. Eimicke Associates, Inc.  -  June 28  -  July 24  -  September 26

a/k/a The VWE Group, Inc.

Vision Securities, Inc. - July 14

Walnut Street Securities, Inc.  -  March 3
Tower Square Securities, Inc.


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