Securities and Business Investments Division
2010 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.

Citigroup Global Markets Inc. - July 8

Conde, Carlos E. - February 24

Credit Suisse Securities (USA) LLC - July 21

CRF Group, LLC - April 12
Kipperman, Eric

Cronin, Steven Lloyd - November 4

Cuppy's Coffee & More, Inc. - March 5
Elite Manufacturing, LLC

Deutsche Bank Securities Inc. - August 9

Diamcor Mining, Inc. - September 30

Digital In-Motion, LLC - October 22 - December 9
Couture, Paul H.

Embassy Loans, Inc. - October 8

Financial Partners LLC - January 21 - May 7
Landeen, Douglas Kirk - January 21 - May 7

Forman Financial Services, LLC - February 26 - July 7 - July 8
Forman, Rogers III  - February 26 - May 18 - July 8 

Goldman, Sachs & Co. - December 17

Grosvenor Partners, Ltd. a/k/a Aster Associates - June 24

Grove Electronics, LLC - November 23 - December 14 - December 22
d/b/a Chip Partners LLC

Hickman, James Fowler a/k/a Jay Hickman - June 28

Itradedirect.com Corp. - June 3 - August 20 - August 23

JHS Capital Advisors, Inc. - October 26

Joseph P. Lucia & Associates, LLC - August 9

JPMorgan Chase & Co. - August 2

Kjaya, LLC - November 23

Lofton, Derek M. - January 22

Lyle, Donald C. d/b/a Noirstar Financial Services - May 7 - June 2 - July 8

McMahan Securities Co. L.P. - January 5
Mercer Capital Ltd. - January 5

Merrill Lynch, Pierce, Fenner & Smith Incorporated - July 28

Meyers Associates, L.P. - November 23

Millbrae Natural Gas 2005, L.L.C. - May 17
Millbrae Natural Gas Development Fund 2005, L.P.

Morgan Stanley & Co. Incorporated - July 7

Petruzzi, David P. - June 23

Porter, Daniel Morris  - August 23 - October 22 - November 19
d/b/a D.P. Holdings Inc.
J. Lawson & Associates, Inc. - August 23 - November 5 - November 19
Lawson, Jason Alexander - August 23 - November 5 - November 19

Prosper Marketplace, Inc. - October 13

Raymond James Financial Services, Inc. - March 16

RBC Capital Markets Corporation - July 19

Rockhouse Capital, LLC - September 20

Royal Burgundy International, Inc.  - March 16 - May 7
S&E Investment Group - June 24

Salomon Whitney LLC - September 23

Satell, Andrew Glen - October 15

Smirnow, Nicholas Alexander - February 26 - May 18 - June 3
a/k/a Nick Smirnow
d/b/a P-2-P Network and
d/b/a Pathway-2-Prosperity

Stifel, Nicolaus & Company, Incorporated - September 23

Tarini, Robert -  January 19

TDA Advantage Trust - June 4
Desteph, Thomas F.

The Advisory Council, Inc. - July 30

Torres, Joel - July 15 - August 20 - August 23

UBS Securities LLC - May 26
UBS Financial Services Inc.

Verdi, Chad A. - January 4
    Judgment in Accordance With Stipulation
    Motion for Judgment in Accordance With Stipulation

Verition Securities LLC - July 19

Vining Sparks IBG, L.P. - September 27

Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC - July 15
Wachovia Capital Markets, LLC n/k/a Wells Fargo Securities, LLC

Wachovia Securities, LLC - December 29
n/k/a Wells Fargo Advisors, LLC

Wadsworth Investment Co., Inc. - August 11
Portfolio Timing Service d/b/a PTS Asset Management
Wadsworth, William F.
Wadsworth, William F. Jr.

Wells Fargo Investments, LLC - December 14

Westrock Advisors, Inc. - December 8

Woodstock Financial Group, Inc. - March 26

Zephyr Aurora Fund, L.P. - October 1

Other Years:
2018  |   2017  |   2016  |  2015  |  2014  |  2013  |  2012  |  2011 

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