Securities and Business Investments Division
2007 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.
Wiegand, Richard W.
Energy Automation Systems, Inc. - March 21
Feibus, Terry Lee - April 27
a/k/a Stressler, Charles Joseph
a/k/a Giamo, Charles Evan
Giordano, Roger J. - October 23
Gray, Steven - July 13 - July 18
Great Eastern Securities, Inc. - January 26 - March 22 - June 22
Duboise, Mark T.
McNaul, Michael J.
KMH Management, Inc. - May 4
Kuhns Brothers Capital - August 28
L & L Financial Holdings, Inc. - April 26
f/k/a Sands Brothers International Ltd.
Millenco, L.L.C - January 29
Pennaluna & Company, Inc. - August 27
Private Mortgage Fund, LLC (The) - June 13
Antonios, Joseph A.
a/k/a John Higgins
Sirvis, Andrew Austin - October 1
SMH Capital, Inc. - November 21
Snow Fund One, LLC - December 18
Southern Connecticut Financial Services, Inc. - June 22
Klein, Monte S.
Strand, Atkinson, Williams & York, Inc. - August 8
Thornton, Brian M. - October 17
Tower Square Securities, Inc. - July 23
USAllianz Securities, Inc. n/k/a Questar Capital Corporation
Advantage Capital Corp.
UBS Financial Services, Incorporated - April 16
Von Kohorn, Kenneth - October 15
Judgment in Accordance With Stipulation
(PDF file; file size 25 KB)
Motion for Judgment in Accordance With Stipulation
(PDF file; file size 279 KB)
Wachovia Capital Markets, LLC - April 4
WMD Task Force, Inc. - February 6
Bucciarelli, John A.
York Stockbrokers, Inc. - June 6