Securities and Business Investments Division
2019 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.

A&M Capital Advisors, LP - September 12

Andrews-McKay, Vaughn Lee - March 25

Aquila Municipal Trust - January 25

Archview Investment Group LP - September 5

Bermingham, Reed Francis - October 10 - October 31 - December 12
d/b/a Bermingham Wealth Strategies

Bridgeways, Inc. f/k/a Xandros, Inc. - September 5

ETFConcepts, LLC - November 14

Fastsigns International, Inc. - August 5

First Allied Securities, Inc. - January 2
First Allied Advisory Services, Inc.

Giorgio, Ralph Steven - May 3

Great Heritage Investments, LLC - December 19
Messier, George Henry

Horter Investment Management, LLC - December 18

Houge, David E. - July 8

JC Franchising Group LLC - September 19

North American Drilling Corporation - March 27
Brown Well 1 Joint Venture
Brown Well 1A Joint Venture
Brazelton Well 2A Joint Venture
Koonce, Larry Michael

Prophet, Andrew Seafus - September 11
Prophet Financial Planning, LLC

Quarve Associates, LLC - January 11

Reens, Daniel - October 22

Safe Harbour LLC - September 27
Brinkman, Robert William

Silver Pine Capital, LLC - February 15

Soma Equity Partners, LP - March 20

TAM Capital Management Inc. - August 6

Titan Advisors, LLC - April 25

Vintage Foods Ltd. - April 24

Vir-Sec, Inc. - January 17
Murphy, Christopher 

Voya Financial Advisors, Inc. - March 11

Welsh, James - June 25 - October 16
GHC Fund One LLC a/k/a Gilbert Hill Fund I, LLC - June 25 - October 16  - October 23

Westphalen, Adam - March 11 - May 10 - April 27, 2020
Mosaic Financial Strategies LLC 

Other Years:  2023  |  2022  |  2021  |  2020  |  2019  |  2018  |   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.