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
Aegis Capital Corp. - September 3
Anchored Tiny Homes Franchising LLC - January 17 - April 28 - April 28
Anderson Accounting & Finance LLC - November 18
Anderson, Carl Benjamin Levi a/k/a Ben Anderson
Arcstone Securities LLC f/k/a Arcview Capital, LLC - July 25
Ceros Financial Services, Inc. - October 28
CFIG Investment Advisory Services, LLC - June 23
CFP Fund 1, LLC - March 2
The Cheetah Fund LP - June 10
C.M. Allen Capital Management, Inc.
Allen, Craig Murfee
Concentric Capital Strategies L.P. - September 18
D & M Group, LLC - September 17 - November 17
PSA Education, Inc.
Ding, Tieqiang
Fang, Hong
Edward D. Jones & Co., L.P. - October 8
Growthpoint Technology Partners, LLC - May 15 - July 17
Horang Securities, LLC - October 3
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
Osaic Wealth, Inc. - October 14
Phillips & Company Securities Inc. - August 22
Pierce, Ian Michael - June 26
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
Stifel, Nicolaus & Company, Inc. - November 18
SWCD LLC a/k/a Campfire Capital - May 15 - July 7
TD Ameritrade, Inc. - November 12
Tyr Partners LP d/b/a Goodstead - November 28
Swigert, Robert Elbert
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.