Securities and Business Investments Division
2015 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.
Carolina Financial Securities, LLC - March 2
Citigroup Global Markets Inc. - October 8
Cooper Capital, Inc. - November 24
Cooper, Sara Katherine
Essex Financial Services, Inc. - November 23
First Connecticut Capital, LLC - May 5
Yurdin, Lawrence R.
Greenberg International Law & Tax Advisory - May 20 - July 23
Dunn, Robert - May 20 - July 23
Fox, Richard - May 20 - July 23
James, Mike - May 20 - July 23
Hershman, Peter D. - June 26
K.C. Ward Financial, LLC - February 26
Martinez-Ayme Financial - November 23
d/b/a Martinez-Ayme Securities
M.M. Dillon & Co. LLC - May 19
Meyers Associates, L.P. - February 13 - March 24
Mittler & Mercaldo Investment Advisors - January 5
Moniodes, Nicholas John - February 23
National Securities Corporation - December 29
Neilsen, James E. - March 31 - December 1
d/b/a Neilsen Financial Services
Pokorski, Rosemarie - February 26 - October 6
Poppin Kettle Franchising, Inc. - February 27
Gregoris, Chris T.
Yofresh Yogurts Franchising, Inc.
Quesnel, Dale Joseph, Sr. - June 22
Overtime Marketing, LLC - - June 22 - September 16
Overtime Sports Southeast, LLC - - June 22 - September 16
Overtime Sports Southwest, LLC - - June 22 - September 16
Hansmire, Kenneth - June 22 - September 16
Floridel, LLC- June 22 - October 15
Rafal, John William - November 23
Rafferty Capital Markets, LLC - July 31
Rojo, Andres Dario - October 26
Red Advisors LLC
Domum Equity 1, Ltd
Domum Equity 2, Ltd
Settzo, Carolyn - October 16
Southridge Real Estate Partners, Limited Partnership - July 10 - November 23
Ridgebury Partners, LLC
Esposito, Douglas R.
Hicks, Stephen Murray
Young, Andre Paul - January 16
Other Years: 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2014 | 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.