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
Group Incorporated
d/b/a Martinez-Ayme Securities
 
M.M. Dillon & Co. LLC - May 19

Meyers Associates, L.P. - February 13 - March 24
Meyers, Bruce  

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
Acerbus, LLC
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:
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.