Securities and Business Investments Division
2022 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.
Aldwych Securities LLC - August 8
BlockFi Lending LLC - March 25
Clipper Capital Group LLC - August 3
T&T Capital Partners LLC
Tavares, Steven Alan
Endeavor Global Partners Corp. - September 21
Endeavor Global Partners (HK) Ltd.
Fresne, David Manning
Extreme Marketing Alliance LLC - January 20
Fedorko, Joseph Michael Jr. - May 17
Fortis Group Advisors, LLC - June 30
Hop Knot Franchising Corp. (The) - April 1
Boney, Michael T.
Hudson Bay Capital Management LP - October 24
J.A.G. Capital, LLC - February 18
Bozzi, Joseph Richard
Olive Tree Ridge Investment Advisors LLC - September 21
Perkins Fund Marketing, L.L.C. - July 13
Pettit, James Albert - September 7
Reilly, Michael M. - June 23
Quantum Capital Investments, LLC
Sage Financial Design, Inc. - May 9
Thompson, Robert Sheldon
Verespy, Erin Lynn - May 2
For more information on a particular administrative order or settlement, you may contact the department via email or by calling (860) 240-8170.