Securities and Business Investments Division
2019 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.


Aquila Municipal Trust - January 25

First Allied Securities, Inc. - January 2
First Allied Advisory Services, Inc.

Quarve Associates, LLC - January 11

Silver Pine Capital, LLC - February 15

Vir-Sec, Inc. - January 17
Murphy, Christopher 

Voya Financial Advisors, Inc. - March 11

Westphalen, Adam - March 11
Mosaic Financial Strategies LLC 


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 email or by calling (860) 240-8170.