Securities and Business Investments Division
2006 Administrative Orders and Settlements
For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170.
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.
Asset & Financial Planning Ltd. - July 14
Bayou Securities, LLC - January 9
Berman, Michael S. - April 19
d/b/a First Capital Unlimited (F.C.U.)
Black Diamond Research, LLC - January 17
CHF Technologies, Inc. - January 4
Gerald Grayson
Grayson & Associates, Inc.
Douglas Miscoll
Ravello Partners, LLC
Charter One Capital Holding, Inc. - April 27 - June 1 - August 14
Comprehensive Capital Management, Inc. - February 2
Christina E. Foster
Huntington Investment Company (The) - August 29
Independent Securities Investors Corporation - January 5 - April 17
Pratt, Donald Chapman - April 7
Provectus Pharmaceuticals, Inc. - August 7
Venture Catalyst, LLC
Leslie Neil Bocskor
Quirk, Dennis Michael - January 4
d/b/a United Resources Group
Roll-A-Cover, LLC - October 18
Michael P. Morris
Sharma, Kautilya - January 9
a/k/a Tony Sharma
UVest Financial Services Group, Inc. - March 3
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