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.

Filomeno Wealth Management, LLC - January 11

Gray, Robert Lawrence - October 20

Halcyon Cabot Partners, Ltd. - February 16 - April 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

Martinez-Ayme Financial - February 18
Group Incorporated
d/b/a Martinez-Ayme Securities

Meyers Associates, L.P. - December 5

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

Peter R. Mack & Co., Inc. - February 3
Mack, Peter Richard

Q 350 Ely LLC - January 26
Quinn, James P.
Youm, Gary

Quesnel, Dale Joseph Sr. - March 3

Rafal, John William - August 19

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

Rockingham Capital Advisors LLC - May 16
Frew, Scott Little

Seiler, Thomas E. - February 2

Silver Oak Securities, Incorporated - August 3

Steffany, Paul Anthony - May 13

Tatoian, John A. - April 8

Trade-PMR Inc. - July 7

Tricarico, Robert Neil - April 22 - June 10 - July 27

RNT Wealth Management LLC - April 22 - June 10 - July 27

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

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

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