Securities and Business Investments Division
2025 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.

1 Main Capital Management, LLC - April 2

ACK Asset Management LLC - March 28

Anchored Tiny Homes Franchising LLC - January 17 - April 28  - April 28

CFP Fund 1, LLC - March 2

Growthpoint Technology Partners, LLC - May 15

Hudson Harbor Capital Management LP - May 6
Hudson Harper Capital LP

IRWT, LLC d/b/a In Russ We Trust  - January 13
Davis, Russell D.

Metric Financial, LLC - April 17

Plutus Financial Holdings Inc. - February 13
Plutus Financial Inc.
Plutus Lending LLC
Abra Boost LLC
Barhydt, William

Radius Securities, LLC - May 7

Spruce Investment Advisors, LLC - April 8

SWCD LLC a/k/a Campfire Capital - May 15

Valuex Research LLC - March 28
Valuex Fintech LLC
Johansson, Ulrika
Johansson, Peter

Vanguard Marketing Corporation - March 25
The Vanguard Group, Inc.

Other Years:  2024  |  2023  |  2022  |  2021  |  2020  |  2019  |  2018  |  2017  |  2016  |  2015

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