Securities and Business Investments Division
2020 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.
ARO Equity, LLC - January 9 - April 17
- May 14
Renison, Thomas David - January 9
Renison, Thomas James - January 9
Bankers Life and Casualty Company - April 29
Boomerang Capital, LLC - September 17
Booth, James Thomas - February 14 - April 2- June 18
Insurance Trends, Inc. - February 14 - April 2- June 18
Crowe, Edward Kenneth - October 13
ERG Securities (US) LLC - May 21
Financial Vision Advisory Services, LLC - December 9
Great Heritage Investments, LLC - April 27
Messier, George Henry
Hafen, Herbert H. a/k/a Hafen, Elias - February 11 - July 8 - August 17
Hansbury Group, LLC (The) - November 16
Hoyos-Farfan, Monica - June 24
Janney Montgomery Scott, LLC - October 21
Johnson, Glenn Bradford - May 29
Savona, Annmarie Lucy
Jabez Financial, LLC
Lawrence Insurance - 5, LLC - August 21
Grochmal, Joseph Lawrence, Jr.
Lynch, John J. - August 6
Merrill Lynch, Pierce, Fenner & Smith Incorporated - June 23
Monitor Capital, LLC - July 20
Native American Energy Group, Inc. - January 28 - February 26 - March 13
D'Arrigo, Joseph Gatano - January 28 - June 3 - June 4
Nanvaan, Raj S. f/k/a Tejbir Singh - January 28 - February 26 - March 13
Bautista, J.R. Jr. - January 28 - September 10
North American Drilling Corporation - February 7
Brown Well 1 Joint Venture
Brown Well 1A Joint Venture
Brazelton Well 2A Joint Venture
Koonce, Larry Michael
NYPPEX, LLC - February 21
Allen, Laurence Geoffrey
P-Square Investments LLC - May 29
d/b/a P-Squared Capital Management
Quint Wealth Management, Inc. - October 7
Schupp & Grochmal, LLC - August 21
SG Insurance Investment Fund, LLC
SG Insurance & Technology Investment Fund, LLC
Schupp, David Alexander
Solace Investments, LLC - June 25 - September 2 - September 4
Muzzi, Rafael Alves - June 25 - September 2 - September 4
Solium Financial Services LLC - February 21
TPEG Securities, LLC - June 8
Verespy, Erin Lynn - June 25
Westphalen, Adam - July 27
Mosaic Financial Strategies LLC
Wilmington Capital Securities, LLC - August 25
Other Years: 2023 | 2022 | 2021 | 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.