Securities and Business Investments Division
2023 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.

A.G.P./Alliance Global Partners, LLC - May 3

Black Diamond Lifeplan Fund, Limited Partnership - June 20
Blue Diamond Fund, LLC
Evergreen II Lifeplan Fund, Limited Partnership
Evergreen III Fund Management, LLC
Gissas, Michael

Blackstone Wealth Solutions LLC - May 23 - August 4 - August 16
Hults, Matthew Craig - May 23 - August 4 - August 16
Kopman, Paul Brian - May 23 - August 4 - August 16

Burns, Thomas Zachary - September 18
Burns Capital Investments LLC

Clipper Capital Group LLC - May 2 - June 7
T&T Capital Partners LLC
Tavares, Steven Alan

Gagnon, Kara Leigh - March 9

Greenfield Financial Services, LLC - June 6

J.A.G. Capital, LLC - February 27
Bozzi, Joseph Richard

Laidlaw & Company (UK) Ltd. - January 23

Nexo Capital, Inc. - March 17

NYPPEX, LLC - July 3
Allen, Laurence Geoffrey

Parker Street Securities LLC - February 17

Parnassus Funds - June 29
Parnassus Income Funds (The)

Pratik KC a/k/a Pratik Chand KC - May 3

Robinhood Financial LLC - August 10

Safeguard Metals LLC - November 3
Ikahn, Jeffrey a/k/a Jeffrey S. Santulan a/k/a Jeff Hill

Terrascheduler LLC - May 8
Hamar, Richard Craig

Validea Capital Management LLC - October 19

Vend Tech International, Inc. - July 18

Other Years:  2023  |  2022  |  2021  |  2020  |  2019  |  2018  |  2017  |  2016  |  2015  |  2014 

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