Securities and Business Investments Division
2013 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.
Accelerated Mentoring LLC - March 18 - July 1 - July 16
f/k/a Internet Sales Institute LLC
Jensen, Josh - March 18 - July 1 - July 16
Yohman, Clancey Braxton - March 18 - July 1 - July 16
Baldwin, Howard Sr. - September 24
Beauchamp, Alfred R. - February 20
Connecticut Foreclosure Division Corp.
Borgo, Christopher - February 19 - March 19
Calash, John - February 19 - March 19 - April 25 - September 12
Calash, Susan - February 19 - March 19 - April 25 - September 12
Christoforou, Christos - January 9 - January 10
Corre Opportunities Fund, LP - December 31
DFS Capital Management, LP - May 1 - July 25
DFS Fund, Limited Partnership
Greco, John Vincent
Euro Group of Companies, Inc. - October 23
Field, A. Searle - September 19
Hollywood Next Holdings LLC
First Financial LLC - January 3 - May 13
Sharif, Feisal
New Heart LLC
Progenesis LLC
Oz III, LLC
Fundraising Co-Op, Inc. - July 25 - December 13
Buyer Topia, Inc.
Burkholder, Nicholas C.
Graham, Duncan H.
Weber, John
Goodrich, Stephen - July 23 - August 22 - September 3
a/k/a Stephen W. Goodrich
a/k/a Stephen Western Goodrich
d/b/a Goodrich Financial
Healey, Michael P. - May 30
Healey Ford of Ansonia, Inc.
Eurospeed USA, Inc.
American Motor Sports, LLC
Imbruce, Gregory Richard - December 17
Hunton Oil Partners LP
Hunton Oil Genpar LLC
Giddings Oil & Gas LP
Giddings Genpar LLC
Asym Energy Fund III LP
Asym Capital III LLC
J. Capital Advisors, LLC - March 18 - October 21
d/b/a J. Capital Advisors Wealth Management
Johnson, Aaron Jousan
Marvin, Ronald - July 29
RMV Holding Company, LLC
Maxcomusa Group Inc. - January 9 - January 10
Meissenn, Christian - September 16 - December 3
a/k/a Christian Nigohossian
a/k/a Christian Mason
a/k/a Christopher Mason
a/k/a Christian Levon Nigohossian
Abensur, Gabriel - September 16 - October 28 - November 13
Morgan, John - September 16 - October 28 - November 13
Speed of Thought Trading Corporation - September 16 - October 28 - November 15
Rescon Technology Corporation - September 16 - October 28 - November 13
Northeast Development Corporation - September 16 - October 28 - November 13
The African Diamond Company, Inc. - September 16 - October 28 - November 13
n/k/a Coal Corporation
Hybrid Automotive Technologies, Inc. - September 16 - October 28 - November 13
Ironclad Investments, LLC - September 16 - October 28 - November 13
Delgado, Damian Seth - September 16 - December 4 - December 4
Method Films, Inc. - March 11 - May 13 - May 16
Greene, Matthew Bennett - March 11 - May 13 - May 16
Stilas Financial Services, S.A. - March 11 - May 13 - May 16
Thelemaque, Thierry - March 11 - May 13 - May 16
Miller, David - July 8 - September 6
Mohr & Moore, LLC - March 18 - May 14 - May 16
Moore, William Elmer - March 18 - May 14 - May 16
Obsidian Financial Group, LLC - January 11
Ocean Cross Capital Markets LLC - July 8
PowerWater Systems, Inc. - January 11 - October 21
Cleworth, Duncan
PowerWater USA Ltd.
ProEquities, Inc. - June 3
Rochdale Securities LLC - August 12
Stead-Fast Custom Linings, LLC - February 19 - March 19
Steadfast Holdings Group, Inc. - January 17 - January 18
f/k/a Beere Financial Group, Inc.
Terra Energy Resources, Ltd. - July 12 - August 5 - August 13
Meissenn, Christian - July 12
a/k/a Christian Nigohossian
Vassallo, Anthony Charles - July 12 - August 5 - August 13
Terra Energy, LLC - July 12 - August 28 - September 3
UBS Financial Services Inc. - October 15
Vista Investment Advisors LLC - March 26
Other Years:
2018 | 2017 | 2016 | 2015 | 2014 | 2012 | 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.