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
Murphy, Christopher 

Voya Financial Advisors, Inc. - March 11

Westphalen, Adam - March 11 - May 10
Mosaic Financial Strategies LLC 


Other Years:
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For more information on a particular administrative order or settlement, you may contact the department via email or by calling (860) 240-8170.