2016 Securities Division Administrative Orders

Securities and Business Investments Division
2016 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.

Bridgewater Communications Group LLC - August 3
The Exchange, LLC
Schur, Peter Adam

Cantone Research Inc. - October 20
Polakoff, Victor

Dang, Hai Khoa - November 29 - December 16

David Lerner Associates, Inc. - October 26

Dratel Group, Inc. (The) - September 19 - November 4

Entertainment Only, LLC - April 20 - August 29

Evans, John W. d/b/a Evans Technology Holding Company - September 22
Evans, Bonnie A.

Gray, Robert Lawrence - October 20 

Harbor Vista Wealth Management LLC - April 22 - June 10 - July 27

Hershman, Peter David - August 19

Hunton Oil Partners LP - August 29
Giddings Oil and Gas LP
Asym Energy Fund III LP

Meyers Associates, L.P. - December 5

Omniview Capital Advisors, LLC - August 17
Discala, Abraxas J. 

Rafal, John William - August 19

RBS Securities Inc. - September 30
RBS Securities Inc. (FX matter) - September 30 

Silver Oak Securities, Incorporated - August 3 

Tyrol, Lee - August 29
Tyrol Group, LLC
Native American Tyrol Energy, LLC

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