State of Connecticut Department of Banking

Securities and Business Investments Division
2007 Administrative Orders and Settlements

Enforcement Home Page

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.


4 L.I.F.E., Inc.  -  March 8  -  May 22
Mayfield, Terry  -  March 8  -  March 28
Andesa Strategies, Inc. - December 5

Bayou Technologies, Inc.  -  June 15
Canady, Steven O.
Blue Coast Financial Group, Inc.  -  May 4
a/k/a Questar Financial Group
Condor Investment Advisors, LLC - January 11
Wiegand, Richard W.
Crystal Sky Enterprises, LLC  -  January 23  -  March 21
Duffy, Gregory J. - September 18

Energy Automation Systems, Inc. - March 21

Feibus, Terry Lee  -  April 27
Foster, Christina E.  -  April 4
GDC Securities, LLC - June 12
Giaimo, Charles Evan - October 2
a/k/a Stressler, Charles Joseph
a/k/a Giamo, Charles Evan

Giordano, Roger J. - October 23

Gray, Steven  -  July 13  -  July 18

Great Eastern Securities, Inc.  -  January 26  -  March 22  -  June 22
HCH Cypress, LLC  -  January 11  -  September 18
Kabbash, Bradley W.

HGI Opportunity Fund I, LLC - December 18

ICG Financial, LLC - July 17
Key Resource Group, LLC  -  December 10
Bay, Mike
Deaton, Mark
Duboise, Mark T.
Folkinga, Ronald
Hunter, Greg
Kilgariff, Russell
Lucas, Dale C.
McNaul, Michael J.
Phillips, George

KMH Management, Inc. - May 4
Konior, Jason John  -  December 19

Kuhns Brothers Capital - August 28
   Management, Inc.

L & L Financial Holdings, Inc. - April 26
Laidlaw & Company (UK) Ltd.  -  May 18
f/k/a Sands Brothers International Ltd.
Sands Brothers Asset Management LLC
Liberatore, Louis John Sr.  -  October 23
Marshall, Quintin Geoffrey  -  June 22  -  August 16  -  October 24
Argyle Capital, LLC  - June 22  -  August 16  -  October 24
The McCall Business Group, LLC  -  April 19  -  May 21  -  September 21
d/b/a MBG Private Trading
McCall, Cauzae  -  April 19  -  May 21  -  September 21

Millenco, L.L.C - January 29
Moran, Frederick Augustus  -  March 13  -  July 27
Moran Capital Management, Inc.  -  March 13  -  July 27
Morris, Peter McKinley - October 10

Pennaluna & Company, Inc. - August 27

Private Mortgage Fund, LLC (The) - June 13
Antonios, Joseph A.
Puccerella, Albert Robert III  -  October 23
a/k/a John Higgins
Roll-A-Cover, LLC  -  February 16
Morris, Michael P.

Royal Alliance Associates, Inc. - February 26
Sandgrain Securities, Inc. - October 10

Sirvis, Andrew Austin - October 1

SMH Capital, Inc. - November 21

Snow Fund One, LLC - December 18
Southern Connecticut Financial Services, Inc. - June 22
Kasowitz, David
Klein, Monte S.

Strand, Atkinson, Williams & York, Inc. - August 8

Thornton, Brian M. - October 17

Tower Square Securities, Inc. - July 23
USAllianz Securities, Inc. n/k/a Questar Capital Corporation
Advantage Capital Corp.

UBS Financial Services, Incorporated  -  April 16

Von Kohorn, Kenneth - October 15
Judgment in Accordance With Stipulation
(PDF file; file size 25 KB)
Motion for Judgment in Accordance With Stipulation
(PDF file; file size 279 KB)

Wachovia Capital Markets, LLC  -  April 4

WMD Task Force, Inc. - February 6
Bucciarelli, John A.

York Stockbrokers, Inc. - June 6

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