Securities and Business Investments Division
2016 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.
Bridgewater Communications Group LLC - August 3
The Exchange, LLC
Schur, Peter Adam
Cantone Research Inc. - October 20
David Lerner Associates, Inc. - October 26
Evans, John W. d/b/a Evans Technology Holding Company - September 22
Evans, Bonnie A.
Filomeno Wealth Management, LLC - January 11
Gray, Robert Lawrence - October 20
Hershman, Peter David - August 19
Hunton Oil Partners LP - August 29
Giddings Oil and Gas LP
Asym Energy Fund III LP
Martinez-Ayme Financial - February 18
d/b/a Martinez-Ayme Securities
Meyers Associates, L.P. - December 5
Omniview Capital Advisors, LLC - August 17
Discala, Abraxas J.
Peter R. Mack & Co., Inc. - February 3
Mack, Peter Richard
Q 350 Ely LLC - January 26
Quinn, James P.
Quesnel, Dale Joseph Sr. - March 3
Rafal, John William - August 19
Rockingham Capital Advisors LLC - May 16
Frew, Scott Little
Seiler, Thomas E. - February 2
Silver Oak Securities, Incorporated - August 3
Steffany, Paul Anthony - May 13
Tatoian, John A. - April 8
Trade-PMR Inc. - July 7
Tyrol, Lee - August 29
Tyrol Group, LLC
Native American Tyrol Energy, LLC
For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170.