Securities and Business Investments Division
2018 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.

AFT Logistics, LLC n/k/a Equity One Contractors LLC - May 2 - June 28 - July 25
Freeman, Brandi - May 2 - June 28 - July 25
Johnson, Javeir - May 2 - June 28 - July 25

Allen, Trevor M., Sr. - July 13

Allied Energy, Inc. f/k/a Allied Syndications, Inc. - April 25 - June 28 - August 10
SE Ohio Shale & Oriskany Development  - April 25 - June 28 - August 10

Augment Securities Inc. - March 19

Bakitas, Thomas Michael - May 17  - September 10
DRBS Algorithm, LLC

Blaine Capital, LLC - May 15

CE Capital Limited - January 19 - January 31

Connolly, Arthur - January 19 - January 31

Downing, John Mark - September 13 - October 3 - November 16

Dubiel, Walter John - July 12

Empire Wine & Liquor Superstore CT, LLC - April 17
Empire Wine & Liquor Superstore, LLC
Belmonte, Brandon
Belmonte, Judith A.
Ravage, Marc B.

Endeavor Management Solutions, LLC - May 21 - June 9 - July 31
Doyle, James Ward - May 21 - July 6 - July 31

Evans, John W. - January 2
d/b/a Evans Technology Holding Company
Evans, Bonnie A.

Hanley & Associates, LLC - February 23

Hunjo LLC - April 27

Leland Energy, Inc. - June 7 - July 28 - August 29
Leland Tennessee Holdings, Inc. - June 7 - July 28 - August 29
Opportunity Drilling & Acquisition Fund, LLP - June 7 - July 28 - August 29
Stephen M. Thompson - June 7 - July 28 - August 29

LPL Financial LLC - November 15

Moreau Investment Management Company - May 2

Pearson and Associates, LLC - March 19

Pinheiro, John A. - June 5  - September 18

Polakoff, Adele Millicent - August 20

ProEquities, Inc. - July 20

R & R Wealth Strategies, LLC - April 20

Rejda, Troy - May 17

Renaissance Institutional Management LLC - October 30

Romano Brothers and Company - December 11

Sakelarakis, Christopher - July 31 - August 28 - September 21

Scott, Ralph Upton - July 5

SF Investments, Inc. - March 21

Southridge Capital Management LLC - July 6
Hicks, Stephen
[Order Regarding Motion for Judgment in Accordance With Stipulation]

S P Consulting, LLC - December 21
Posa, Steven A. d/b/a SP Financial Services

Stuck, Barton W. - May 2
Signal Lake Management, LLC
Signal Lake Side Fund, L.P.
Signal Lake Side Fund II, L.P.
Signal Lake Side Fund IIA, L.P.
Signal Lake General Partner LLC

Vir-Sec, Inc. - July 20
Murphy, Christopher

Voya Financial Advisors, Inc. - April 23 - November 13

Waterfund LLC - June 19
Waterfund Energy Terminals I LLC
Waterfund Energy Terminals II LLC

Wilbanks Securities, Inc. - June 7 - July 13

Woodard, Matthew Charles - March 23
Toppikgink 539, LLC

Other Years:  2023  |  2022  |  2021  |  2020  |  2019  |  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.