Securities and Business Investments Division
2014 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.
Byl, Michael James - July 3 - December 3
Columbus Advisory Group, Ltd. - November 26
Euro Group of Companies, Inc. - February 10 - March 20
Koutsobinas, Vasilios - February 10 - April 25
HFP Capital Markets LLC - December 11
Imbruce, Gregory Richard - June 10 - August 26
Hunton Oil Partners LP - June 10
Hunton Oil Genpar LLC - June 10 - August 26
Giddings Oil & Gas LP - June 10
Giddings Genpar LLC - June 10 - August 26
Asym Energy Fund III LP - June 10
Asym Capital III LLC - June 10 - August 26
J.P. Morgan Securities LLC - June 25
Meyers Associates, L.P. - February 10
Meyers, Bruce
Moniodes, Nicholas John - July 9
Morgan Stanley Smith Barney LLC - June 9
Opportunity Income Plus, LP - March 18
Orion Capital LLC - May 8 - November 7
Gibson, Herman Wayne
Papic, Eddie - March 27
Settlement Agreement and Release
Gregoris, Chris T.
Yofresh Yogurts Franchising, Inc.
Prussin, George Jay - July 25
Ramos, Edmund J. - September 30
The Right Mortgage Co., Inc.
Salt Wall Trading, Inc. - February 28
Fraser, Drew R.
Syndicated Capital, Inc. - July 14
Ulysses Partners, LLC - January 9 - February 18 - November 13
Neilsen, James E.
Vanderbilt Securities, LLC - October 8
Young, Andre Paul - November 26
Other Years: 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2013
For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170.