Securities and Business Investments Division
2020 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.

ARO Equity, LLC - January 9
Renison, Thomas David
Renison, Thomas James

Booth, James Thomas - February 14
Insurance Trends, Inc.
 
Hafen, Herbert H. a/k/a Hafen, Elias - February 11
  
Native American Energy Group, Inc. - January 28 - February 26 - March 13
D'Arrigo, Joseph Gatano - January 28
Nanvaan, Raj S. f/k/a Tejbir Singh - January 28 - February 26 - March 13
Bautista, J.R. Jr. - January 28

NYPPEX, LLC - February 21
Allen, Laurence Geoffrey
 
Solium Financial Services LLC - February 21

Other Years:
2019   |   2018  |   2017  |  2016  |  2015  |  2014  |  2013  |  2012  |  2011  |  2010 

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