2008 Securities Division Administrative Orders and Settlements

Securities and Business Investments Division
2008 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.

4 L.I.F.E., Inc. - October 10
Terry Mayfield

Axiom International Investors LLC - February 19

Baffa, Brett Anthony - February 22

Basic Investors Inc. - September 22

Bayou Technologies, Inc. - April 3
Steven O. Canady

Blue Coast Financial Group, Inc. - May 5
a/k/a Questar Financial Group

Blue Coast Financial Group, Inc. - November 5

Hull, Lindsay
Hull, Shawn

Brennan, Kevin Patrick - March 24

Cohan, Jeffrey Alan - June 3

Digi-Pin, LLC f/k/a Digipin LLC - September 12

Divel, George Lemuel, III - August 5

Ecosol Solar Technologies Inc. - May 8

Excel Securities & Associates, Inc. - July 22

Grove, Kenneth Henry - March 18 - April 9

Hinkley, Jesse John - December 1

Java's Brewin Development, Inc. - May 30 - June 23 - October 8

Key Resource Group, LLC - January 31 - September 29

Lucas, Dale C. - January 31 - September 29

Kilgariff, Russell - January 31 - September 29

McNaul, Michael J. - January 31 - September 29

Duboise, Mark T. - January 22 - September 29
Bay, Mike - January 31 - September 29
Phillips, George - January 31 - September 29

Hunter, Greg - January 22 - September 29
Folkinga, Ronald - January 31 - September 29

Deaton, Mark - January 31 - September 29

Konior, Jason John - January 28 - July 11

Liberatore, Louis John, Sr. - February 20

Maiure, Michael James - February 6 - February 27 - August 28

Managers Distributors, Inc. - August 11

Peter Michael Lebovitz

Thomas Grant Hoffman

Markland Technologies, Inc. - August 15 - October 6 - December 2
Chad A. Verdi - August 15

Morton, Steven G. - January 30
Oxford Micro Devices, Inc.

Multivend, LLC d/b/a Vendstar - August 15

New Castle Financial Services LLC - August 18

One Key LLC - May 27

Puccerella, Albert Robert III - January 29
a/k/a John Higgins

Reilly, Michael M. - June 27

Source Capital Group, Inc. - April 28

Southridge Capital Management LLC v. Pitkin - August 18
Memorandum of Decision and Judgment
(PDF file; file size 1.05 MB)
Notice of Appeal - September 8(PDF file; file size 1 MB)

Spoor, T. Richard - May 9

Traptek, LLC (n/k/a Cocona, Inc.) - March 25

Vision Travel, Inc. - August 15 - October 6 - November 5
a/k/a Global Vision Travel

Westrock Advisors, Inc. - September 4

Wyllins, Raymond d/b/a - August 25 - November 13
Finishmasters Refinishing

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