Securities and Business Investments Division
2021 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.

Abbington Investment Group, LLC - August 9

AE Wealth Management, LLC - March 18

Bonnanzio, Richard Louis - September 20
NorthOne Capital Partners, LLC

Chatsworth Securities, LLC - January 27

Commonwealth Equity Services, LLC
d/b/a Commonwealth Financial Network - September 17

CV Brokerage, Inc. - May 27 - July 1

Davinci Capital Management, Inc. - October 12

Endeavor Global Partners Corp. - November 17
Endeavor Global Partners (HK) Ltd.
Fresne, David Manning

Jax Acquisitions II LLC - April 9 - June 30 - July 6

KJM Securities, Inc. - December 23

Lifestyle Freedom Advisory Group, LLC - December 22

LPL Financial LLC - December 3

Monomoy Capital Management, L.P.  - October 7

Mountain Vista Wealth Management, LLC - August 13

Paiva, Fernando Manuel - September 27

Renison, Thomas David - January 15

Renison, Thomas James - March 25

Salusbury, Frederic H. - March 10

Smith, Travis - March 26 - April 21 - April 22

Stone Beach Investment Management, LLC - December 2

Volumetric Fund, Inc. - January 19  

Other Years:  2023  |  2022  |  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.