Securities and Business Investments Division
2021 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.
Abbington Investment Group, LLC - August 9
AE Wealth Management, LLC - March 18
Chatsworth Securities, LLC - January 27
Mountain Vista Wealth Management, LLC - August 13
Renison, Thomas David - January 15
Renison, Thomas James - March 25
Salusbury, Frederic H. - March 10
Volumetric Fund, Inc. - January 19
For more information on a particular administrative order or settlement, you may contact the department via email or by calling (860) 240-8170.