Securities and Business Investments Division
2018 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.
AFT Logistics, LLC n/k/a Equity One Contractors LLC - May 2 - June 28 - July 25
Freeman, Brandi - May 2 - June 28 - July 25
Johnson, Javeir - May 2 - June 28 - July 25
Allen, Trevor M., Sr. - July 13
Allied Energy, Inc. f/k/a Allied Syndications, Inc. - April 25 - June 28 - August 10
SE Ohio Shale & Oriskany Development - April 25 - June 28 - August 10
Augment Securities Inc. - March 19
Bakitas, Thomas Michael - May 17
- September 10
DRBS Algorithm, LLC
Blaine Capital, LLC - May 15
CE Capital Limited - January 19 - January 31
Connolly, Arthur - January 19 - January 31
Downing, John Mark - September 13 - October 3 - November 16
Dubiel, Walter John - July 12
Empire Wine & Liquor Superstore CT, LLC - April 17
Empire Wine & Liquor Superstore, LLC
Belmonte, Judith A.
Ravage, Marc B.
Endeavor Management Solutions, LLC - May 21 - June 9 - July 31
Doyle, James Ward - May 21 - July 6 - July 31
Evans, John W. - January 2
d/b/a Evans Technology Holding Company
Evans, Bonnie A.
Hanley & Associates, LLC - February 23
Hunjo LLC - April 27
Leland Energy, Inc. - June 7 - July 28 - August 29
Leland Tennessee Holdings, Inc. - June 7 - July 28 - August 29
Opportunity Drilling & Acquisition Fund, LLP - June 7 - July 28 - August 29
Stephen M. Thompson - June 7 - July 28 - August 29
LPL Financial LLC - November 15
Moreau Investment Management Company - May 2
Pearson and Associates, LLC - March 19
Pinheiro, John A. - June 5 - September 18
Polakoff, Adele Millicent - August 20
ProEquities, Inc. - July 20
R & R Wealth Strategies, LLC - April 20
Rejda, Troy - May 17
Renaissance Institutional Management LLC - October 30
Romano Brothers and Company - December 11
Sakelarakis, Christopher - July 31 - August 28 - September 21
Scott, Ralph Upton - July 5
SF Investments, Inc. - March 21
Southridge Capital Management LLC - July 6
[Order Regarding Motion for Judgment in Accordance With Stipulation]
S P Consulting, LLC - December 21
Posa, Steven A. d/b/a SP Financial Services
Stuck, Barton W. - May 2
Signal Lake Management, LLC
Signal Lake Side Fund, L.P.
Signal Lake Side Fund II, L.P.
Signal Lake Side Fund IIA, L.P.
Signal Lake General Partner LLC
Vir-Sec, Inc. - July 20
Voya Financial Advisors, Inc. - April 23 - November 13
Waterfund LLC - June 19
Waterfund Energy Terminals I LLC
Waterfund Energy Terminals II LLC
Wilbanks Securities, Inc. - June 7 - July 13
Woodard, Matthew Charles - March 23
Toppikgink 539, LLC
Other Years: 2022 | 2021 | 2020 | 2019 | 2017 | 2016 | 2015 | 2014 | 2013
For more information on a particular administrative order or settlement, you may contact the department via email or by calling (860) 240-8170.