Securities and Business Investments Division
2015 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.

Citigroup Global Markets Inc. - October 8

Cooper Capital, Inc. - November 24
Cooper, Sara Katherine

Essex Financial Services, Inc. - November 23 

Martinez-Ayme Financial - November 23
Group Incorporated
d/b/a Martinez-Ayme Securities  

National Securities Corporation - December 29

Neilsen, James E. - March 31 - December 1
d/b/a Neilsen Financial Services

Pokorski, Rosemarie - February 26 - October 6

Overtime Marketing, LLC -  - June 22 - September 16
Overtime Sports Southeast, LLC -  - June 22 - September 16
Overtime Sports Southwest, LLC -  - June 22 - September 16
Hansmire, Kenneth - June 22 - September 16
Floridel, LLC- June 22 - October 15

Rafal, John William - November 23

Rojo, Andres Dario - October 26
Acerbus, LLC
Red Advisors LLC
Domum Equity 1, Ltd
Domum Equity 2, Ltd

Settzo, Carolyn - October 16

Southridge Real Estate Partners, Limited Partnership - July 10 - November 23
Ridgebury Partners, LLC
Esposito, Douglas R.
Hicks, Stephen Murray

Other Years:  2025  |  2024  |  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.