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 19September 16

American Capital Partners, LLC - June 9

Barnard Jacobs Mellet (USA) LLC - October 2

Casimir Capital L.P. - January 15
Chapin, Davis, Inc. - January 21

Cohan, Jeffrey Alan - March 6

Commonwealth Exploration Corporation - June 30 -   August 10 - December 3

Conde, Carlos E.  - June 30  - August 10 - December 3

Lofton, Derek M.  - June 30

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

Sands Brothers Asset Management LLC - September 9

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

 
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For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170.