State of Connecticut Department of Banking

Securities and Business Investments Division
2012 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.

Aegis Capital Corp. - April 27

Andreyeva, Tatyana - March 27

Bankers Life and Casualty Company - June 29
BLC Financial Services, Inc.

Beauchamp, Alfred R. - May 29
Connecticut Foreclosure Division Corp.

Blankenship, Stephen Burton - August 31
Deer Hill Financial Group, LLC

Brookville Capital Partners - August 9

Clinton, Michael H. - March 21

Cronin, William Alexis Jr. - June 26 - December 11

Cuccaro, Yvette - March 2 - March 7

DFS Capital Management, LP - November 6
Greco, John Vincent
DFS Fund, Limited Partnership

EQA Currency Fund LP - July 17
EQA Global Macro Fund LP

E*Trade Securities LLC - April 18

Fleming, Perry & Cox, Inc. - March 9

Foschini, Attilio Anthony - February 17

Gigapix Studios, Inc. - April 24

Hawthorne Advisory Group, LLC - May 29
Heiden, William D. Jr.

IHS Herold Inc. - May 9

Laidlaw & Company (UK) Ltd. - April 11

The Magic Plunger, LLC - November 6
John, Jerold L.
Thorp, Dale N.
   Court Order re 9/26/12 Stipulation 
   Verified Complaint, Application for Appointment of Receiver and Stipulated Order

Martineau, Michael J. - March 5 - March 7

Marvin, Ronald - May 9
RMV Holding Company, LLC
RMV Investments, LLC

Maxcomusa Group Inc. - December 21
Christoforou, Christos

Movies for a Better World, LLC - March 5 - March 7

Mozicato, Paul Anthony - August 21

Mullaney, Raymond Michael - August 22
Mullaney Management & Trust, LLC

Natera, Hector - March 2 - March 7

Olojugba, Eric - May 3 - November 30

Pazdar, Stephen P. - March 27 - May 11 - May 15

Point Stratford Development, LLC - March 2 - March 7
f/k/a Hollywood East/Area 51, LLC

Prosper Marketplace, Inc. - April 10

Sky Watch Media, Inc. - October 9 - November 13  - November 15
Duquesne, Marie Meredith - October 9 - November 13 - November 15
a/k/a Duquesne, Meredith

Southridge Investment Group - February 9
f/k/a Greenfield Capital Partners, LLC

Stead-Fast Custom Linings, LLC - December 17
Steadfast Holdings Group, Inc.
   f/k/a Beere Financial Group, Inc.
Calash, John
Calash, Susan
Borgo, Christopher

UVEST Financial Services Group, Inc. - July 5

Wadsworth Investment Co., Inc. - February 7 - April 10
Wadsworth, William F., Sr.

Other Years:
2018  |  2017  |  2016  |  2015  |  2014  |  2013  |  2011  |  2010

For more information on a particular administrative order or settlement, you may contact the department via E-mail or by calling (860) 240-8170.