Securities and Business Investments Division
2020 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.



ARO Equity, LLC - January 9
Renison, Thomas David
Renison, Thomas James

Booth, James Thomas - February 14
Insurance Trends, Inc.
 
Hafen, Herbert H. a/k/a Hafen, Elias - February 11
  
Native American Energy Group, Inc. - January 28
D'Arrigo, Joseph Gatano
Nanvaan, Raj S. f/k/a Tejbir Singh
Bautista, J.R. Jr.


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.