Securities and Business Investments Division
2020 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.
ARO Equity, LLC - January 9
Renison, Thomas David
Renison, Thomas James
Booth, James Thomas - February 14
Insurance Trends, Inc.
Hafen, Herbert H. a/k/a Hafen, Elias - February 11
Native American Energy Group, Inc. - January 28 - February 26 - March 13
D'Arrigo, Joseph Gatano - January 28
Nanvaan, Raj S. f/k/a Tejbir Singh - January 28 - February 26 - March 13
Bautista, J.R. Jr. - January 28
NYPPEX, LLC - February 21
Allen, Laurence Geoffrey
Solium Financial Services LLC - February 21
Other Years:
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010
For more information on a particular administrative order or settlement, you may contact the department via email or by calling (860) 240-8170.