Securities and Business Investments Division
2017 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.

Advanced Business Banking Solutions LLC - November 27

Benjamin F. Edwards & Company, Inc. - July 10

Cantone Research Inc. - August 28 
Polakoff, Victor

Cantor Fitzgerald & Co. - January 5

CE Capital Limited - December 1
Allen, Trevor M. Sr.
Connolly, Arthur
Rejda, Troy

Columbia Funds Series Trust - October 24
Columbia Funds Series Trust I

Gray, Robert Lawrence - July 13

Hershman, Peter D. - March 27

Meyers Associates, L.P. - May 15

Omniview Capital Advisors, LLC - February 17 - October 13
Omni View Capital LLC
Discala, Abraxas J.

Pettit, James Albert - May 15

Quesnel, Dale Joseph, Sr.
   Verified Complaint [pdf]
   Superior Court Order, 12/22/2017 [pdf]

Rafal, John William - January 26

RPM Capital Management, LLC - June 19
Newland, Michele Mary
 
Senior Financial Advisors, Inc. - December 15
Leavitt, William Thomas

Signal Lake General Partner LLC - June 27
Signal Lake Management, LLC
Signal Lake Side Fund, L.P.
Signal Lake Side Fund II, L.P.
Signal Lake Side Fund IIA, L.P.
Stuck, Barton W.

Sovereign State Depository Inc. - July 18
Reddy, Walter B. III

Swayze, Ashleigh Cooper - April 21
 
Threshie, John L. Jr. - September 22
Tirex Corporation (The)

Tyrol, Lee - November 3
Tyrol Group, LLC
Native American Tyrol Energy, LLC

Other Years:  
2018  |  2016  |  2015  |  2014  |  2013  |  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.