Securities and Business Investments Division
2009 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.
Allegrini, Daniel Charles - August 19 - September 16
American Capital Partners, LLC - June 9
Barnard Jacobs Mellet (USA) LLC - October 2
Casimir Capital L.P. - January 15
Cohan, Jeffrey Alan - March 6
Commonwealth Exploration Corporation - June 30 - August 10 - December 3
Crooks, John D. - April 15 - May 15
CT Equity Partners, LLC - December 16
Gilroy, John A.
Cuppy's Coffee & More, Inc. - September 8 - October 14 - November 10
Elite Manufacturing, LLC - October 14
Ehinger, Nelson Noren, Jr. - August 7
Euro Pacific Capital, Inc. - February 20
Fox Run Management LLC - June 12
Hinkley, Jesse John - June 24
Hyten, Randall Bruce - October 7
d/b/a RH Planning & Advisory
L & L International Holdings, Inc. - November 9
f/k/a L & L Financial Holdings, Inc.
Laidlaw & Company (UK) Ltd. - January 20
f/k/a Sands Brothers International Ltd.
Maxim Group LLC - August 19
Morgan Stanley & Co. Incorporated - March 9
Multivend, LLC d/b/a Vendstar - July 31
New Stream Securities, LLC - March 6
Perennial Investment Partners (U.S.) Inc. - December 16
Press-A-Print International LLC - March 23
Prosper Marketplace, Inc. - July 27
Resilient Partners, LLC - July 1 - July 23 - August 18 - November 16
Garcia, Carlos M., III - July 1 - July 23 - August 18 - November 16
Royal Burgundy International, Inc. - December 23
Silver Oak Securities, Inc. - June 26
Southridge Investment Group LLC - October 20
f/k/a Greenfield Capital Partners LLC
Tarini, Robert - July 16
TDA Advantage Trust - April 7 - July 16
Desteph, Thomas F.
Tix Corporation - October 15
Davidson, Alan R.
Weiss, Eric John - June 9
Williams Trading, LLC - March 19
Wilson, Damian Kevon - June 9
For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170.