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.
Kondracki, Michael George Sean
Liu, Judy Bao-Shan
Advisors Capital Investments, Inc. - September 27
Advisor's Capital Research, Inc.
Robert Keith Mann
Alexander Capital, L.P. - March 10
Allegrini, Daniel Charles - January 15
Andrew Garrett Inc. - October 5
Asset & Financial Planning, Ltd. - October 15
Banc of America Securities LLC - July 9
Banc of America Investment Services, Inc.
Bear Stearns Asset Management Inc. - May 5
Blue Coast Financial Group, Inc. - July 15
Lindsay Hull
Brian Felderstein
Order
Stipulation for Judgment and Related Motion
Complaint
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
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For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170.