Securities and Business Investments Division
2017 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.
Advanced Business Banking Solutions LLC - November 27
Benjamin F. Edwards & Company, Inc. - July 10
Cantone Research Inc. - August 28
Cantor Fitzgerald & Co. - January 5
CE Capital Limited - December 1
Allen, Trevor M. Sr.
Columbia Funds Series Trust - October 24
Columbia Funds Series Trust I
Gray, Robert Lawrence - July 13
Hershman, Peter D. - March 27
Meyers Associates, L.P. - May 15
Omniview Capital Advisors, LLC - February 17 - October 13
Omni View Capital LLC
Discala, Abraxas J.
Pettit, James Albert - May 15
Quesnel, Dale Joseph, Sr.
Verified Complaint [pdf]
Superior Court Order, 12/22/2017 [pdf]
Rafal, John William - January 26
RPM Capital Management, LLC - June 19
Newland, Michele Mary
Senior Financial Advisors, Inc. - December 15
Leavitt, William Thomas
Signal Lake General Partner LLC - June 27
Signal Lake Management, LLC
Signal Lake Side Fund, L.P.
Signal Lake Side Fund II, L.P.
Signal Lake Side Fund IIA, L.P.
Stuck, Barton W.
Sovereign State Depository Inc. - July 18
Reddy, Walter B. III
Swayze, Ashleigh Cooper - April 21
Threshie, John L. Jr. - September 22
Tirex Corporation (The)
Tyrol, Lee - November 3
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.