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.
A&M Capital Advisors, LP - September 12
Andrews-McKay, Vaughn Lee - March 25
Aquila Municipal Trust - January 25
Archview Investment Group LP - September 5
Bermingham, Reed Francis - October 10 - October 31 - December 12
d/b/a Bermingham Wealth Strategies
Bridgeways, Inc. f/k/a Xandros, Inc. - September 5
ETFConcepts, LLC - November 14
Fastsigns International, Inc. - August 5
First Allied Securities, Inc. - January 2
First Allied Advisory Services, Inc.
Giorgio, Ralph Steven - May 3
Great Heritage Investments, LLC - December 19
Messier, George Henry
Horter Investment Management, LLC - December 18
Houge, David E. - July 8
JC Franchising Group LLC - September 19
North American Drilling Corporation - March 27
Brown Well 1 Joint Venture
Brown Well 1A Joint Venture
Brazelton Well 2A Joint Venture
Koonce, Larry Michael
Prophet, Andrew Seafus - September 11
Prophet Financial Planning, LLC
Quarve Associates, LLC - January 11
Reens, Daniel - October 22
Safe Harbour LLC - September 27
Brinkman, Robert William
Silver Pine Capital, LLC - February 15
Soma Equity Partners, LP - March 20
TAM Capital Management Inc. - August 6
Titan Advisors, LLC - April 25
Vintage Foods Ltd. - April 24
Vir-Sec, Inc. - January 17
Murphy, Christopher
Voya Financial Advisors, Inc. - March 11
Welsh, James - June 25 - October 16
GHC Fund One LLC a/k/a Gilbert Hill Fund I, LLC - June 25 - October 16 - October 23
Westphalen, Adam - March 11 - May 10 - April 27, 2020
Mosaic Financial Strategies LLC
Other Years: 2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014
For more information on a particular administrative order or settlement, you may contact the department via email or by calling (860) 240-8170.