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.
Andrews-McKay, Vaughn Lee - March 25
Aquila Municipal Trust - January 25
First Allied Securities, Inc. - January 2
First Allied Advisory Services, Inc.
Giorgio, Ralph Steven - May 3
North American Drilling Corporation - March 27
Brown Well 1 Joint Venture
Brown Well 1A Joint Venture
Brazelton Well 2A Joint Venture
Koonce, Larry Michael
Quarve Associates, LLC - January 11
Silver Pine Capital, LLC - February 15
Soma Equity Partners, LP - March 20
Titan Advisors, LLC - April 25
Vintage Foods Ltd. - April 24
Vir-Sec, Inc. - January 17
Voya Financial Advisors, Inc. - March 11
Westphalen, Adam - March 11 - May 10
Mosaic Financial Strategies LLC
For more information on a particular administrative order or settlement, you may contact the department via email or by calling (860) 240-8170.