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
Graham, Matt
Diaz, Orlando

Fedorko, Joseph Michael Jr. - May 17

Fortis Group Advisors, LLC - June 30

Heron Bay Capital, LLC - December 7

Hop Knot Franchising Corp. (The) - April 1 - December 20
Boney, Michael T.

Hudson Bay Capital Management LP - October 24

J.A.G. Capital, LLC - February 18
Bozzi, Joseph Richard

KJM Securities, Inc. - May 16

Klein, Samuel - June 20 - September 16 - December 27
KF Pecksland, LLC - June 20 - September 16 - December 27
Visual Group, LLC - June 20 - September 16 - December 27

Macedo, Ruben Anibal - January 27 - April 13 - April 22

NYPPEX, LLC - December 7
Allen, Laurence Geoffrey

Olive Tree Ridge Investment Advisors LLC - September 21

Perkins Fund Marketing, L.L.C. - July 13

Pettit, James Albert - September 7

Pusser's Holdings Investment LLC - January 5 - July 20
Harbor Cap Partners LLC
Jamieson, Stuart

Reilly, Michael M. - June 23
Quantum Capital Investments, LLC

Sage Financial Design, Inc. - May 9
Thompson, Robert Sheldon

Summit Investment Management, LLC - December 23

Verespy, Erin Lynn - May 2

Westphalen, Adam
  Civil Complaint 
  Motion for Summary Judgment
  Ruling-Summary Judgment Motion
  Restitution Order

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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.