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

Poppin Kettle Franchising, Inc. - June 12
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:
2018  |  2017  |  2016  |  2015  |  2014  |  2013  |  2012  |  2011  |  2010  |  2009  |  2008  |  2007

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