Securities and Business Investments Division
2008 Administrative Orders and Settlements
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.
Baffa, Brett Anthony - February 22
Basic Investors Inc. - September 22
Steven O. Canady
a/k/a Questar Financial Group
Blue Coast Financial Group, Inc. - November 5
Cohan, Jeffrey Alan - June 3
Digi-Pin, LLC f/k/a Digipin LLC - September 12
Divel, George Lemuel, III - August 5
Ecosol Solar Technologies Inc. - May 8
Excel Securities & Associates, Inc. - July 22
Bay, Mike - January 31 - September 29
Phillips, George - January 31 - September 29
Oxford Micro Devices, Inc.
a/k/a John Higgins
Source Capital Group, Inc. - April 28
Southridge Capital Management LLC v. Pitkin - August 18
Memorandum of Decision and Judgment
Notice of Appeal - September 8
Spoor, T. Richard - May 9
Traptek, LLC (n/k/a Cocona, Inc.) - March 25
For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170.