Securities and Business Investments Division
2014 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.

Byl, Michael James - December 3

Columbus Advisory Group, Ltd. - November 26

HFP Capital Markets LLC - December 11 

Orion Capital LLC - November 7
Gibson, Herman Wayne 

Ramos, Edmund J. - September 30
The Right Mortgage Co., Inc. 

Ulysses Partners, LLC - November 13
Neilsen, James E.

Vanderbilt Securities, LLC - October 8

Young, Andre Paul - November 26

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

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