Actions, Order and Administrative Hearing Decisions: S

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Subject Order Issued Date Issued
S & L Financial, Inc. Administrative Action
See also CFL # 603A388		 12/30/19
S Brown and Associates, LLC Administrative Action 06/12/18
S3 Partners, LLC Desist & Refrain Order 05/11/09
S4 Group Desist & Refrain Order 06/24/09
S and B Financials, Inc. Administrative Action 05/10/06
S&D Cash Advance Payday Financial Management Administrative Action 09/10/08
S&D Financial Management Administrative Action 09/10/08
S.C. Pacific Resource Group, Inc. Administrative Order 5/2/2012
S.F. Capital and Associates, LLC Desist & Refrain Order 07/10/07
S.K. & Associates LLC aka S.K. & Associates aka Johnson, Anderson and Associates aka JA Associates aka Johnson Anderson Associates Administrative Action 07/21/22
S.K.B. Trading Group, Inc Desist & Refrain Order 08/21/02
S.W.I. Financial Services, Inc. Administrative Order 10/12/10
Saad, Hali Accusation; See also FSD Licensee Listing # 963-2490 10/21/14
Saakar Corporation d.b.a. Anaheim Cash Co. Administrative Action 03/27/17
Sabatini, Daniella Desist & Refrain Order 05/24/04
Sabourin, Jeremy Desist & Refrain Order 03/06/07
Saccheri, James L. Desist & Refrain Order 11/23/09
Shackelford, Stefanie aka Shackelford, Stephanie Administrative Action 11/02/20
Sacramento Juice Franchising Company Administrative Action 10/13/07
Sacramento Natural Foods Cooperative, Inc. Administrative Action 02/20/19
Sacramento Neighborhood Housing Services, Inc. Administrative Action 07/17/12
Saddleback Resolution Group, LLC. Administrative Action 10/09/17
Sadeghi, Sam Jozani Administrative Action
See also NMLS Licensee Listing # 1119040		 12/21/21
Sadek, Inc. ; Sadek, Nazih Daniel   Administrative Action; See also Office of Administrative Law Decision – OAH No. L2007100635 10/01/07
Sadnara Corporation Administrative Action 01/29/19
Saenz, Alex Desist & Refrain Order 06/06/08
Saenz Group, LLC Desist & Refrain Order 06/06/08
SAFE Administrative Order 11/16/10
Safe Harbor Mortgage Company, LLC Administrative Order 08/04/11
Safe Kids International Desist & Refrain Order; see Order Withdrawing Desist & Refrain Order for JRM & Associates (NV Corporation) 10/23/07
Safe Step Walk-In Tub Co. Desist & Refrain Order 10/12/12
Safe Trade Division Desist & Refrain Order 07/25/05
San Diego Metropolitan Credit Union Administrative Action 05/13/14
San Diego Reserve Bank Administrative Action 06/15/21
San Dieguito Escrow, Inc. Administrative Action
See also FSD licensee listing #9632604		 08/19/19
SafeCare of San Francisco Desist & Refrain Order 09/27/16
SafeCare Limited Trust Desist & Refrain Order 09/27/16
SafeCare Group Trust Desist & Refrain Order 09/27/16
SafeCare Global, Ltd Desist & Refrain Order 09/27/16
SafeCare Risk Company, Ltd. Desist & Refrain Order 09/27/16
Safebay, Inc. Administrative Action
See also Investment Adviser Firm Summary – CRD # 289735		 01/21/21
SafeCare Enterprises, LLC Desist & Refrain Order 09/27/16
SafeCare Financial, LLC Desist & Refrain Order 09/27/16
SafeCare International, Ltd. Desist & Refrain Order 09/27/16
SafeCare Global Limited Desist & Refrain Order 09/27/16
Safeco Capital Services Administrative Action 05/01/09
Safeguard Metals, LLC; Santulan, Jeffrey aka Hill, Jeffrey Civil Action 02/01/22
Safe-loan Administrative Action 05/08/14
Safeloan Administrative Action 05/08/14
Safeloan.com AKA Safeloan Administrative Action 05/08/14
Safely-trade.net Desist & Refrain Order 12/31/04
SafePay Escrow Services Desist & Refrain Order 04/14/11
Safetradedivision.com Desist & Refrain Order 07/25/05
Safevest, LLC Desist & Refrain Order 05/01/08
Safeweb-transactions.net Desist & Refrain Order 02/01/05
Sage Credit aka Sage Credit Company, Inc. Administrative Order 12/08/08
Sage Credit Escrow, Inc. Administrative Action 03/26/08
Sage Financial Group, LLC  Administrative Action 03/18/11
Sage Loan and Investment, Inc. Desist & Refrain Order 02/09/09
Saied, Aasim M.; Soelman, Sheila; Lin, Jane; Akyumen Technologies Corp. aka Akyumen Corp. Administrative Action 06/17/20
Saif, Inc. Administrative Action 05/01/09
Saint Ivan Foundation Desist & Refrain Order 03/26/07
Saint Ivan Partners LLC Desist & Refrain Order 03/26/07
Sakayan, Elie Mikael aka Sharkanian, aka Sakaran Stipulation. See also Desist & Refrain Order 08/22/12
Salad Creations Development Desist & Refrain Order 09/24/07
Salad Creations of America Desist & Refrain Order 09/24/07
Salad Kings, Inc. Desist & Refrain Order 08/06/08
Salamone, Robert Lane Desist & Refrain Order 09/27/02
Salas, Chris Administrative Action; See also FSD licensee listing #9632708 10/22/18
Salas, Juan Administrative Action 12/27/10
Salazar, C. Mackey y Administrative Action; See also Office of Administrative Law Decision – OAH No. 2013010048 06/12/12
Salazar, George Michael Administrative Action; See also Office of Administrative Law Decision –  OAH No. L2003100573 03/30/04
Salazar, Miguel Desist & Refrain Order 07/10/07
Saleh, Khaled Mohamed Administrative Action
See also CFL Licensee Listing # 60DBO-92033		 04/03/20
Sallie Mae Home Loans Administrative Action 10/17/08
Salomon Faisal Financial Corporation Desist & Refrain Order 10/22/07
Salomon Financial, Inc. Desist & Refrain Order 12/20/06
Salomon Financial, LLC Desist & Refrain Order 12/20/06
Salt Capital, LLC Administrative Action
See also CFL License Listing # 60DBO-110147 		 04/19/22
Salt Master Fund II, LLC aka Salt Lending LLC Administrative Action
See also CFL License Listing # 60DBO-87584		 04/03/19
Salter, Judy Civil Action 04/02/07
Salud Financiera Administrative Action 10/29/07
Salvador Holdings International Corporation; Salvador Holdings International (Hong Kong) Desist & Refrain Order 07/21/09
Sam Croce Financial Management Desist & Refrain Order 10/26/11
Samaan, Mina Administrative Action 09/27/19
Saman Francis Seneviratne Administrative Action 07/24/17
Samaniego, Brenda Roxanne Administrative Action 05/04/23
Samson-Cabrera, Pamela Desist & Refrain Order 03/17/06
Samuel and Cohen Media, LLC. Civil Action 05/14/07
San Francisco Check Cashing Administrative Action; See also FSD Licensee Listing #100-0991 See also FSD Licensee Listing #100-0992 See also FSD Licensee Listing #100-0993 04/27/15
San Francisco Merchant Services L.L.C Desist & Refrain Order *05/30/03
San Francisco Sourdough Eatery, Inc. Desist & Refrain Order 08/04/14
San Marcos Check Cashing Administrative Action; See also Office of Administrative Law Decision –  OAH No. L2006100864 09/21/06
San Pedro Payday Loans Administrative Action; See also FSD license listing #1003124 02/26/08
Sanborn Capital, LLC. Administrative Action; See also FSD licensee listing # 603-D022 01/05/17
Sanchez & Young Investments, LLC; Sanchez, Mauricio; Young, Donovan Jay  Administrative Action 05/12/20
Sanchez, Cydney Desist & Refrain Order 08/11/08
Sanchez, Miguel, A Desist & Refrain Order 05/18/09
Sanchez, Rafael Ramon Administrative Action 12/12/12
Sanco Equipment Leasing & Business Financial Services Administrative Order 11/21/11
Sand Hill Finance, LLC  Administrative Action 04/18/12
Sandton Credit Solutions Master Fund IV, LP Administrative Action 06/29/18
Sano, Edwin Desist & Refrain Order 06/18/08
Sanchez, Miguel Gabriel Oleaga Administrative Action 05/27/16
Sandhu, Amardeep Singh Administrative Action
See also CFL # 60DBO-107724		 04/16/21
Sandoval, Adam I. Desist & Refrain Order 12/19/02
Sandoval, Claudia Administrative Order 12/23/08
Sandoval, Raul Fierros Administrative Order See also NMLS File #276361 12/16/14
SanFilippo, Vincent M. Administrative Action 10/10/16
Sanjeev Kumar & Sons Inc. Administrative Action 09/15/22
Santa Rita Partners, Inc. Administrative Action; See also CanAm Capital Corp 02/11/09
Santander Consumer USA, Inc dba HelpingLoans.com Administrative Action
See also FSD licensee listing #603G787		 04/06/18
Santander, Arousiak Administrative Action
See also NMLS Licensee Listing # 1586249		 12/20/21
Santarelli, Marco Desist & Refrain Order 06/13/12
Santillo, Perry C. Desist & Refrain Order 10/22/18
Sardari, Amir A. Administrative Action 11/08/19
Saraj, Jamshid Administrative Action 10/17/06
Saratoga Capital, Inc. Administrative Action 02/09/23
Sarna, Ken Desist & Refrain Order 02/03/10
Sarner, Marc Scott Administrative Action 12/16/15
Sarner, Marc Scott; Beacon Financial Advisory Services, Inc. Administrative Action 06/30/16
SARS Solutions Administrative Action 01/30/23
Sarwari, Maryem Desist & Refrain Order 04/24/14
Sarwari, Masood Desist & Refrain Order 04/24/14
Saryan, Tony Desist & Refrain Order 02/26/09
Sassman, William A., II Desist & Refrain Order *02/21/06
Satterfield, Benjamin Shane Administrative Action 05/01/09
Savant Financial, LLC Administrative Action 02/04/21
Savard, Andre Administrative Action 06/20/12
Save One Funding Mortgage Corporation Administrative Action 03/18/11
Save-A-Lot, Ltd Administrative Action; See also Office of Administrative Law Decision – OAH No. 2007120040 09/25/07
Saveall Penny Administrative Action 07/19/22
SaveUnited.org Administrative Action 05/14/18
Saver’s Choice Mortgage and Funding of Ohio, Inc. Administrative Action 06/02/10
Saving2Retire, LLC. Administrative Action 11/23/15
Savvy Wellness Administrative Action 11/19/18
Sawyer, Mark Anthony Administrative Action; See also FSD licensee listing #6053860 04/03/19
Saucedo Capital Group Inc. Administrative Order 11/17/10
Sauers, David E. Desist & Refrain Order 06/11/08
Saxbys Coffee, Inc. Desist & Refrain Order and Consent 05/14/07
Saxe-Coburg Insurance Solutions, LLC Civil Action 02/25/14
SBB Net, Inc. Administrative Action
See also CFL licensee listing # 603A634		 07/07/15
SB Tax Company Desist & Refrain Order 09/16/08
SBG Finance, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-94202		 04/03/20
SBG Forever, Inc. Desist & Refrain Order and Consent 02/22/07
SBL Ventures, Inc.; Amado, Henry Anthony, Jr. Desist & Refrain Order 01/07/22
SC Escrow Services, Inc. Administrative Order 10/28/10
Scaccianonce, Robert Desist & Refrain Order (McCabe Ventures) 11/04/10
Scaccianoce, Robert Desist & Refrain Order 09/28/10
Scalone, Alan Desist & Refrain Order 07/05/16
Scarsdale Drilling Partners, II LP; Scarsdale Drilling Partners, III LP Desist & Refrain Order 06/19/13
Scarborough, John Garrett Administrative Action 03/26/23
Scarsdale Energy Partners, LLC Desist & Refrain Order 06/19/13
Scavenger Leasing Company Desist & Refrain Order 01/18/06
SCF NBL LLC Administrative Action
See also CFL Licensee Listing # 603H993		 04/03/20
SCG Lending, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-87024		 12/30/19
Schanna, Jasper Carl Desist & Refrain Order 02/27/14
Schantz, J.R. Amended Desist & Refrain Order and Desist & Refrain Order 06/18/08
Schantz, Suzy Amended Desist & Refrain Order and Desist & Refrain Order 06/18/08
Scheuer, Danny Jay Aka Scheuer, Daniel, Scheuer, Dan, Scheuer, Dan J., Scheuer, Daniel J. Administrative Action 07/10/12
Schiaretti, Teresa aka Shaver, Teresa ; Bazinet, Tammey Administrative Action 06/26/19
Schlarmann and Associates Desist & Refrain Order 03/30/98
Schlarmann Assoc., Inc. Desist & Refrain Order 03/30/98
Schlarmann Sharree Lee Desist & Refrain Order 03/30/98
Schlarmann, Larre Jaye Desist & Refrain Order 03/30/98
Scharringhausen, Robert M. Administrative Actions; See also Office of Administrative Law Decision – OAH No.: 2008070293 06/06/08
Schmidt, Ryan aka Ryan Schmidt-Weymans Desist & Refrain Order 10/14/14
Schneder, Claus Desist & Refrain Order 11/17/09
Schneider, Jim R. Desist & Refrain Order 12/24/02
Schnorenberg, Kelly James Administrative Action 01/08/20
Schoff, Tomas Desist & Refrain Order 12/10/08
Scholarship America, Inc. Administrative Action
See also CFL Licensee Listing # 603J754		 04/19/22
Scholtz, Robert Genther Administrative Action
See also NMLS Licensee Listing # 1483398		 04/18/22
School is Easy USA, LLC Administrative Action 11/23/21
Schroeder, Daniela M. Administrative Action 01/16/15
Schroeder, Scott D. Administrative Action 09/18/14
Schultz And Associates Inc Administrative Action 03/25/19
Schultz Investment Advisory Administrative Action
See also Office of Administrative Law Decision – OAH No. L2005I207l 9 		11/28/05
Schwartz, Anthony C. Desist & Refrain Order 10/10/06
Schwartz, Barry Desist & Refrain Order 11/14/14
Schwartz, Chad Administrative Action 04/11/19
Schwartz, Kenneth Jay Accusation; See also NMLS licensee listing #1001095 03/18/16
Schwartz, Tony Desist & Refrain Order 10/10/06
Schyndel Investments, Inc. Administrative Action 03/18/11
SCI Espanol, LLC Desist & Refrain Order 04/15/11
Science Based Nutrition, Inc. Desist & Refrain Order 01/12/07
Sciuto, Anthony Desist & Refrain Order *12/07/07
Sciuto, Brett Desist & Refrain Order *12/07/07
SCME Mortgage Bankers Administrative Order 08/29/08
Scoggin, Lewis Stanley Desist & Refrain Order 10/06/09
Scolari, Enrico; DAS-Alliance Group, LLC; DASAG 3 HR, LLC; and Monce, Ed Administrative Action 12/03/21
Scott, Bob Desist & Refrain Order 05/28/15
Scott, Dean Administrative Action 08/31/20
Scott, Kelly Desist & Refrain Order 12/01/08
Scott, Lauren (Applied Digital Technologies). Administrative Action 03/26/08
Scott Jr., Leonard C. Administrative Action 12/04/07
Scott, Natalia Desist & Refrain Order 04/21/05
Scott, Robert D. Desist & Refrain Order 04/21/05
Scott, Steven Arthur Administrative Action; See also Office of Administrative Law Decision – OAH NO. T..2006090112 – Settlement 06/16/06
Scott, Tamara Kay Administrative Action; See also Office of Administrative Law Decision – OAH Case No. L2002100694 10/27/04
Scott-Gross, Ian Administrative Action; See also Office of Administrative Law Decision – OAH No. 007070922 06/01/07
Scott Financial Services Administrative Action 05/12/10
Scott Mortgage, Inc. Administrative Action 11/26/12
Scotty’s Check Cashing Administrative Action 12/04/07
Screaming Eagle 1H Well Joint Venture Desist & Refrain Order 09/25/12
Screen Machine, The Amended Desist & Refrain Order and Desist & Refrain Order 06/18/08
Scripps Fund II, LLC Administrative Action 05/01/09
SCS Processing; SCS Processing, LLC Desist & Refrain Order 05/13/11
SDI Desist & Refrain Order 09/26/06
Seadream, Inc.  Administrative Order 01/19/11
Sea View Investments Administrative Action 10/28/08
Sea Wind Escrow Co. Administrative Action
Seacliff Escrow, Inc. Administrative Action 12/18/15
Sealmaster Franchise Group, Inc. Citation; Desist & Refrain Order 02/28/07
Searle, Jonathan David Desist & Refrain Order 09/13/03
Sears, Wanda Pittman Administrative Action 12/29/10
Seaside Escrow, Inc. Administrative Action 10/09/12
Sebring Capital Partners, Limited Partnership Administrative Action 01/25/07
Seckel Capital, LLC  Administrative Action 11/02/11
Seckel Capital, LLC; Seckel Capital, LLC Administrative Action
See also FSD licensee listing #4131173		 04/10/18
Seckel, John Marinus Administrative Action; See also NMLS licensee listing #204324 04/10/18
Second Generation, Inc. Administrative Action; See also CFL licensee listing # 603J466  04/03/19
Securecare, Inc. Administrative Action 05/12/10
Secure Account Service LLC Desist & Refrain Order 01/28/14
Secure Bargain Ltd. Desist & Refrain Order 05/24/04
Secure Escrow Services Administrative Order 06/09/10
Secure Escrow;Services; Myescrow.org; Secure .myescrow.org;  and Dolores Ben Desist & Refrain Order 12/03/02
Secure Funding Group Administrative Action 09/07/18
Secure Retirement & Insurance Services Corp. Administrative Action 06/19/20
Secure.myescrow.org Desist & Refrain Order 12/03/02
Secure-bargin.net Desist & Refrain Order 05/24/04
Securebuyonline.com Desist & Refrain Order 06/07/04
Secured Capital Investments, LLC. Civil Action 09/09/15
Secured Credit Corporation Administrative Action
See also CFL Licensee Listing # 6031733		 04/28/23
Secured Funding Corporation Administrative Order 06/25/07
Secured Marketing Concepts Corp Administrative Action 05/12/10
Secured Investment Corp. Administrative Action
See also CFL Licensee Listing # 60DBO-101344		 04/19/22
Secured Investors Mortgage Funds Desist & Refrain Order 03/30/98
Secured Residential Funding, Inc. Administrative Action 12/12/11
Secure-Escrow Desist & Refrain Order 03/22/02
Secure-Escrow.com Desist & Refrain Order 03/22/02
Securetradesonline.com Desist & Refrain Order 02/11/05
Security Alarm Financing Enterprises, L.P. Administrative Order 11/16/10
Security America Mortgage, Inc. Administrative Action
See also CRMLA licensee listing # 4131191; CFL # 60DBO-111188 		08/02/13
Security Financial, Inc. Administrative Order 08/31/11
Security Home Mortgage, LLC Administrative Action
See also CFL #’s 603C554, 60DBO-96233 and 60DBO-103422		 12/16/16
Sedona Oil and Gas Desist & Refrain Order 03/30/07
Seek Capital, LLC Administrative Action 12/30/19
Seibert, Robert Mark Desist & Refrain Order 12/19/08
Seibert, James Alexander Administrative Action; See also NMLS licensee listing # 220944 See also Office of Administrative Law Decision – OAH No. 2017051384 05/15/17
Segue Capital, Inc. Administrative Action 07/27/05
Segura, Jesse aka Segura, Jesus Desist & Refrain Order 02/23/11
Segura, Roger Desist & Refrain Order 04/3/06
Selditch, Jacquelyn N. Administrative Action 01/10/19
Seldon, Robert P. Desist & Refrain Order *01/24/02
Select Escrow, Inc. Administrative Action 06/23/15
Select Jet General Partnership Desist & Refrain Order 04/19/05
Select Jet, Inc. Desist & Refrain Order 04/19/05
Selecto Tax, Inc. Administrative Action; See also FSD licensee listing #603-L357 and #603-L259 05/24/17
Sell More, LLC Civil Action 02/01/05
Selzer Property Loans, LLC Administrative Order 11/17/10
Semic Securities Group, Inc. Desist & Refrain Order 10/26/99
Semisub, Inc., Semisub, LLC Desist & Refrain Order 11/05/09
Semper Home Loans, Inc. Administrative Action; See also FSD licensee listing #4131077 04/03/19
Sencan, Yaman Huseyin Administrative Action 12/16/14
Seneca One, LLC Desist & Refrain Order, see also FSD licensee file # 603-A173 06/24/14
Senior Adult Living, Inc. Civil Action 12/05/05
Senior Advantage Association Administrative Action 09/19/18
Senior Benefit Advisors, Inc. Administrative Action 04/01/08
Senior Benefits Desist & Refrain Order 05/24/04
Senior Citizens Financial Services Desist & Refrain Order 05/08/02
Senior Estate Services, Inc Desist & Refrain Order 03/27/00
Senior Freedom Corp Administrative Order 12/08/08
Senior Funding Corp Administrative Order 12/08/09
Senior Mortgage Advisors, LLC Administrative Action 12/30/19
Senior Real Estate Finance Account (N), L.P.
 Administrative Action
See also  CFL Licensee Listing # 60DBO-63627		 12/30/19
Senior Real Estate Finance Account (N) Facility Borrower, LLC Administrative Action
See also  CFL Licensee Listing # 60DBO-151137		 04/19/22
Senior Resources Asset Fund, LLC Desist & Refrain Order 08/17/05
Senior Retirement Specialists Civil Action 02/25/14
Senior Secured Loan Fund LLC Administrative Action 05/12/10
Senior’s Choice, Inc. (The) Administrative Action; See also Office of Administrative Law Decision – OAH No. L2007020013 11/30/06
Sensa Stocks aka sensa-stocks-by-canalogic.mybigcommerce.com Administrative Action 04/30/21
Send Me A Trainer Franchising, LLC Administrative Action 10/29/21
Sentinel Loan Fund, LLC Administrative Order 11/21/11
Sentra Funding, LLC. Administrative Action 07/02/18
Sequoia Financial Group, Inc. Desist & Refrain Order 12/24/02
Sequoia Fund Limited Desist & Refrain Order 03/05/06
Seriesone Securities, LLC Administrative Action
See also FINRA Broker-Dealer Summary – CRD # 297799		 01/21/21
Serimian, Brian Desist & Refrain Order 01/09/09
Seriously Addictive Learning Center USA LLC aka Seriously Addictive Learning Centre USA LLC Administrative Action 12/31/19
Serrano, Joshua Administrative Action; See also Office of Administrative Hearings – Final Decision 04/11/17
Serrano, Hector P Desist & Refrain Order; See Stipulated Settlement and Order 12/24/02
Serrano, Ramiro Administrative Action 05/15/08
Service Annex, LLC Desist & Refrain Order 06/10/08
Service Escrow Company Administrative Order 04/27/16
Service Team, Inc. Desist & Refrain Order 11/25/14
Services R Us Desist & Refrain Order 08/15/07
Settles, William Berg Administrative Action 11/04/10
Seven Twelve Management, LLC Administrative Action
See also CFL licensee listing # 60DBO-59426		 04/03/19
Severn, Todd R. Desist & Refrain Order 07/23/12
Sevier, Jeffrey A. Desist & Refrain Order 03/28/16
Seville Mortgage, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-101092		 04/03/20
Sewak, Shaneil; C.A.I Financial aka Canada Advantage International, Inc., C.A.I Financial International, Inc., and C.A.I Loans; Administrative Action 02/04/20
Seward, Michelle Kenen Civil Action 02/25/14
Sewell, William Gilligan Administrative Action 07/13/21
Sezzle Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-104155		 12/30/19
SFG Bancorp (Piggyback Home Loans) Administrative Order 09/24/08
SFG Capital, Inc. Administrative Action
See also CFL Licensee Listing #’s 603L359, 60DBO-44523, 60DBO-44524 and 60DBO-44525		 04/03/20
SGC Investment Group, Inc Administrative Action 05/01/09
Shabazz Investments Desist & Refrain Order 05/03/10
Shabazz, Khalid A. Desist & Refrain Order 05/03/10
Shadow of the Storm Company (The) Desist & Refrain Order 01/04/06
Shadoworks, Corp. Inc. Desist & Refrain Order 01/04/06
Shadden, Jody R. Administrative Action 11/23/15
Shade, Ronald Paul aka Shade, Ron Desist & Refrain Order 09/10/08
Shah Mortgages Incorporated Administrative Action; See also NMLS licensee listing # 217352 07/19/17
Shah, Ashish Administrative Action 05/17/19
Shah, Pravin T. Administrative Action 12/04/07
Shah, Rakesh Administrative Action 12/04/07
Shahi, Anupinder Administrative Action 09/13/10
Shahnazi, Hesam Administrative Action 03/18/11
Shakesheff, Will Desist & Refrain Order 08/31/16
Shalaby, Korollos Administrative Action
See also NMLS Licensee Listing # 916233		 12/20/22
Shamitoff , Joel Barry Administrative Action 02/17/09
Shamitoff , Joel Barry Administrative Action 02/17/09
Shaner, William M. Administrative Action; See also Office of Administrative Law Decision – OAH No.: 2007120040 09/25/07
Shannon, Steele Administrative Action 03/17/16
Shao, Lejun James aka Shao, James aka Shaw, James Administrative Action 08/29/18
Shapiro, Robert H. Administrative Action 02/20/18
Shapiro, Steven Edward Desist & Refrain Order 01/04/06
Share Trade Income Desist & Refrain Order 12/20/13
Sharestates Investments, LLC Administrative Action 08/15/18
Sharespost Securities, LLC Administrative Action; See also FSD licensee listing #6054618 07/30/18
Sharma, Neelam S. Desist & Refrain Order 05/05/08
Sharpe, Bruce Desist & Refrain Order; Administrative Action 04/12/05
Sharpe Signa, LLC Administrative Action 08/05/16
Sharper & Granite Desist & Refrain Order 08/30/07
Shave, Kathleen Civil Action 07/28/08
Shaver, Matthew Administrative Action
See also NMLS Licensee Listing # 346963		 12/16/21
Shaw, Simon Administrative Action 12/05/07
Shawzin, Mark Russell Administrative Action 05/11/16
Shea Silva, Inc. Desist & Refrain Order 01/31/06
Sheehan, Alesia H. Desist & Refrain Order 06/26/07
Sheehan, John Michael Desist & Refrain Order 06/26/07
Shekarchian, Ali Administrative Action 01/23/14
Shekinah Escrow, Inc. Administrative Order 05/19/11
Shields, Rusty Desist & Refrain Order 05/11/09
Shepard Mortgage Co.  Administrative Action 03/18/11
Shepard, Leon Benwar  Administrative Action 03/18/11
Shepherd Management Services, LP Administrative Action
See also CFL Licensee Listing # 6031604		 04/19/22
Shepherd’s Finance, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-108998		 04/19/22
Sherriff Family, LLC Desist & Refrain Order 01/12/10
Sherriff, John Desist & Refrain Order 01/12/10
Sherriff, Loraine Desist & Refrain Order 01/12/10
Sherman Oaks Check Cashing I, LP Administrative Order 07/23/08
Sherman Way Investments, Inc. Desist & Refrain Order 06/12/08
Sherwood Finance (Delaware), LLC Administrative Action 12/30/19
Shemano Capital Management Administrative Action; See other Office of Administrative Law Decision OAH No. L2004060054 10/22/04
Shemano, Gary Administrative Action; See other Office of Administrative Law Decision – OAH No. L2004060054 10/22/04
Sheran De Putt Sher, LLC. Administrative Action 04/10/13
Sheriff, Daniel F. Desist & Refrain Order 02/20/07
Sherman, Roger Desist & Refrain Order 12/01/04
Sherwood Escrow, Inc. Administrative Action
See also Licensee # 963-2286		 06/26/13
SHH Financial and Leasing, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-73151		 04/03/20
Shields, Chastan Desist & Refrain Order 05/17/10
Shields, Kevin Administrative Action
See also NMLS Licensee Listing # 877706		 01/02/22
Shields, Melvin Russel aka Shields, Rusty Desist & Refrain Order 05/17/10
Shift Finance, LLC. Administrative Action 06/07/18
Shih, Tai Chung Desist & Refrain Order 09/16/10
Shim, Michael H.

 Administrative Action 11/26/12
Shim, Michael Hijoon and Quick Cash Funding, LLC Administrative Action 07/25/22
Shipley, Robert Desist & Refrain Order; See also order rescinding for Robert Shipley. 05/11/04
Shipping Franchise Holding Corporation Administrative Action 06/08/17
Shiraz Escrow, Inc. Administrative Action; See also Office of Administrative Law Decision – OAH No. L2006110258 10/17/06
Shire, Dan Desist & Refrain Order 07/10/12
Shore Funding Solutions, Inc. Administrative Action 05/18/18
Shorecrest Ventures, Inc. dba Western Pacific Lending Administrative Action 10/10/16
Shoreline Messaging Systems, Inc. Desist & Refrain Order 05/31/06
Shortal, Paul Edwin III Administrative Action 12/19/19
ShortTask.com Administrative Action 06/12/18
Shovi Films Desist & Refrain Order 01/04/06
Showalter, Heather Desist & Refrain Order 11/19/04
Shrem, Sam Desist & Refrain Order 01/10/11
Shuba, Christopher Michael; Helios Quantative Research, LLC Administrative Action 04/27/20
Shuken, Jeffrey Civil Action 06/24/02
Shulgin Lending Fund, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-67946		 04/03/20
Shulman, Jerry Administrative Action
See also Office of Administrative Law Decision – OAH No.: L2007050142		 12/15/05
Shults, Craig M. Desist & Refrain Order 08/31/06
Shurnas, Jason Patrick Desist & Refrain Order 12/30/08
SIC JV SPV Funding I LLC Administrative Action
See also CFL Licensee Listing #’s 60DBO-80178, 60DBO-80180, 60DBO-85128		 04/19/22
Sidher, Ashum Administrative Action 10/02/07
Sidher Jr, Chander Mohan Administrative Action 10/02/07
Sidhu, Amarjeet Administrative Order 05/01/07
Sidra Financial LLC Administrative Action 07/31/19
Sierra, Lisa Desist & Refrain Order 08/24/07
Siegel, Ronald Administrative Action
See also NMLS licensee listing # 217037		 01/02/22
Sierra Financial, LLC, dba Sierra Financial, and Sierra Lending, and Tall Grass Finance, and Iggy Loans,and Arrow One, LLC Administrative Action 05/14/20
Sierra Income Corporation Administrative Action
See also  CFL # 6054798; # 603K710		 12/30/19
Sierra Pacific Mortgage Company, Inc. Administrative Action
See also FSD Licensee Listing # 4170015
See also FSD Licensee Listing # 6071771		 08/26/19
Sierra Total Return Fund Administrative Action 12/30/19
Sigma-transactions.com Desist & Refrain Order 05/02/05
Silicon Capital, Inc. – 603G284
Silicon Capital, Inc. – 6054218		 Administrative Action 05/27/10
Silicon Summit Technologies Desist & Refrain Order 06/25/03
Silicon Valley Bank Administrative Action 03/10/23
Silicon Valley Community Ventures, Inc. Administrative Action 05/09/12
Silicon Valley Finance Company, dba Universal Lending Corporation Desist & Refrain Order 02/27/14
Silicon Valley Forex Group Desist & Refrain Order 11/02/09
Silicon Valley Securities, Inc. Administrative Action
See also Investment Adviser Firm Summary – CRD # 23696		 01/09/20
Sillect Insurance Services, Inc. Administrative Action 04/03/19
Silletto, Gregory Administrative Action
See also NMLS licensee listing # 297625		 01/02/22
Silva, Cain Rodriquez Citations, Desist & Refrain Order, and Order Voiding Deferred Deposit Transactions *05/15/07
Silva, Edward J. Desist & Refrain Order 03/25/05
Silva, Shea Christian Desist & Refrain Order 01/31/06
Silver Financial Capital Inc. Administrative Action 01/30/23
Silver Reel Entertainment Mezzanine Fund, L.P. Administrative Action
See also CFL licensee listing # 603J139 		 11/26/12
Silver Saddle Commercial Development, LP. Administrative Action 05/14/18
Silver Saddle Ranch & Club, Inc. Administrative Action 05/14/18
Silver Screen Productions Administrative Action 04/18/08
Silver Sierra Mortgage Incorporated Administrative Action 03/18/11
Silver, Stephen D. Desist & Refrain Order 06/02/03
Silverback Realty Desist & Refrain Order 10/11/11
Silvergate Capital Corporation; Silvergate Bank Administrative Action 05/23/23
Silverman, Paul H. Administrative Action 07/19/12
Simcho, David Desist & Refrain Order 12/24/02
Simmons, Tad Desist & Refrain Order 11/15/13
Simnowski, Gina Administrative Action 04/12/02
Sims, Michael Desist & Refrain Order 05/11/09
Simms, Verna Desist & Refrain Order 12/28/06
Simon, Adrian Administrative Action 09/05/17
Simple As That Mortgage.Com, Inc. Administrative Order 04/20/10
Simple Car Title Loans Administrative Active; See also FSD # 603J076 01/14/20
Simple Cash Loans, Inc. Administrative Action; See also FSD licensee listing #’s 603F508 and 603J714 11/06/17
Simple Finance Services Administrative Action 06/04/20
Simplending, LLC Administrative Action 12/30/19
SimpliFi Mortgage, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-92312		 04/03/20
Simplist Mortgage, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-101288  		 04/03/20
Simply Escrow, Inc. Administrative Action; See also Office of Administrative Law Decision – OAH No.: 2008040755 03/24/08
Simplyloans Administrative Action
See also CFL licensee listing # 60DBO-84780 		04/03/19
Simonyan, Mikayel Desist & Refrain Order 09/28/09
SimpleFi Administrative Action 03/16/18
Simonyan, Mikayel; Car Title Loan Specialists, Inc.  AKA Car Title Loan Specialists; Mayra Vasquez Desist & Refrain Order 03/16/18
Simpson, David Louis dba Simpson Capital Management, Inc. Administrative Action 09/15/14
Simpson, Kim Elaine Administrative Order 05/13/11
Simpson Capital Management, Inc. Administrative Action 09/15/14
Sims, Catherine Ad Desist & Refrain Order 02/20/08
Sims, Tessa M.A. Administrative Action 11/14/06
Sincere Escrow Administrative Action
See also Escrow Licensee Listing # 9631701		 08/05/20
Sinay, Melinda Jeanne aka Sinay Mindy Administrative Action 10/09/08
Sindeo, Inc. Administrative Action 06/20/18
Singh, Jasleen Desist & Refrain Order and Stipulation 06/03/13
Singh, Raman Administrative Action; See also Office of Administrative Law Decision – OAH No.: L-2008080077 07/15/08
Singh, Sheru Administrative Action 04/10/13
Singh, Surjit Desist & Refrain Order 05/22/08
Single Source Technology, Inc. Desist & Refrain Order 12/03/07
Sinica, Norbertas Administrative Action 05/27/20
Sinkinson, Mark (S.K.B Trading Group, Inc.) Desist & Refrain Order 08/21/02
Sinkinson, Mark (MyOnly Catalog.com; Commerce Syndication Network, Inc) Desist & Refrain Order 08/21/02
Sinkinson, Mark Ian  (Super Absorbent Company) Administrative Action 04/24/07
Sipe, Martha D. Desist & Refrain Order 02/06/06
Sirva Mortgage, Inc. Administrative Action; See also FSD Licensee Listing 413-0944 10/14/14
Sisk, Laurence Desist & Refrain Order 12/01/14
Sistar Mortgage Company Administrative Action 05/12/10
Sisu Capital LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 169444		 01/21/21
Sixunder7 FIlms Desist & Refrain Order 10/06/08
Sjoblom, Preston aka Sjoblom, Preston Leigh. Desist & Refrain Order 03/28/11
SK Global Investment, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-80188		 04/03/20
SK Restaurants PVT. Ltd. dba The Yellow Chilli Administrative Action 05/07/20
Skalic, Andreja Desist & Refrain Order 09/28/09
Skalland, Jeremy Lance Administrative Order 06/20/11
Skavery, Stanley Dr. Desist & Refrain Order 06/29/04
Skipper, Chris Desist & Refrain Order 05/28/02
Skizzim.com, Inc. doing business as Skizzim Financial Administrative Order 04/27/16
Sky Bridge Financial, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-58506		 04/03/20
Sky Financial Corp Administrative Action 05/12/10
Skylark Capital Management, LLC Administrative Action; See also CFL licensee listing # 60DBO-90312 04/03/19
SkyLine Escrow, Inc. Administrative Action 12/10/07
SkyLine Financial Corp. Administrative Action; See also FSD licensee listing #4130296 08/03/17
Skyline Mortgage, LLC Administrative Action 07/07/11
Skyline Pictures, LLC Civil Action 02/25/14
Skyrme, Gerald Hoyt Desist & Refrain Order 03/13/06
SkyStar Escrow Ltd. Desist & Refrain Order 03/15/05
SkyStar Express Ltd. Desist & Refrain Order 03/15/05
Skyview Escrow, Inc. Administrative Order 11/05/07
Slaieh, Nabeel Administrative Action 01/03/07
Slanaker, Bart Desist & Refrain Order, see also Cinamour Entertainment, LLC and BDS Productions 03/24/09
Slanaker, Bart Douglas Desist & Refrain Order, see also Cinamour Entertainment, LLC and Red Water Film LLC 03/14/11
Slapfish Franchise, LLC Administrative Action 01/07/19
Slauson Cash Administrative Action 12/04/07
Slauson Gas and Market Administrative Action 12/04/07
SLC1, LLC dba Sweet Leaf Capital 1, LLC Administrative Action 04/26/18
Sleekfin, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-118108		 04/19/22
Sleepwell Laboratories, Inc. Desist & Refrain Order 03/28/07
Slender Lady, Inc. Desist & Refrain Order; Administrative Action 04/12/05
Slezinger, Jr., Herbert Edwin Administrative Action 09/21/20
Small Business Financial Assistant, LLC Administrative Order 11/21/11
Smallcakes Franchise Systems, LLC Administrative Order 10/22/18
Smart Choice Direct Lending Administrative Action 02/19/08
Smart-s Choice Administrative Action 04/24/18
Smarts Choice, LLC Smarts Choice Agency LLC Administrative Action 04/24/18
Smart Fitness, LLC Administrative Action 02/14/18
Smart Home Pro LLC Administrative Action
See also CFL Licensee Listing # 60DBO-92754		 04/03/20
Smart Initiatives, LLC Administrative Action 02/04/19
Smart, LLC Administrative Action 10/06/21
Smart Money Funding (Netmore America, Inc., Dba) Administrative Action 05/09/11
Smart Savings Mortgage  Administrative Order 01/26/11
Smart, Errol Alexander; Armed Forces Wireless/Mobile Inc. Administrative Action 05/21/20
Smartwear Technologies; Smartwear Technologies, Inc. Civil Action 09/09/08
SML Direct, LLC. Administrative Action 05/27/16
SMC Financial Administrative Order 11/09/09
SME Partners LLC Administrative Action
See also CFL Licensee Listing # 60DBO-106147		 04/16/21
Smiley Services Desist & Refrain Order 06/12/08
Smith, Andrea Desist & Refrain Order 09/24/15
Smith, Aghee William; aka Smith, Bill and Smith, A.W. Administrative Action 08/26/19
Smith, Alexandra Lorraine Administrative Action
See also CFL Licensee Listing # 96DBO-80565		 03/15/23
Smith Gregory LLC Administrative Action 10/11/22
Smith, Hylas Derrick Desist & Refrain Order
See also The Furlough Group 		04/27/09
Smith, Daniel Administrative Action
See also NMLS Licensee Listing # 1214558		 12/21/21
Smith, Dave Desist & Refrain Order 04/19/06
Smith, David Calvin Administrative Action 03/29/19
Smith, Gary Lowery Administrative Action 02/04/16
Smith, Jack Grant Administrative Action
See also NMLS Licensee Listing # 398551		 03/17/20
Smith, Judith Carolyn Administrative Action 04/22/08
Smith, Linda H. Administrative Action 05/03/07
Smith, Michael aka Smith, & Gas Desist & Refrain Order 05/30/08
Smith, Senior (Smith), Paul Horton; Egate, LLC Administrative Action
See also Investment Adviser Summary – CRD # 2387799; CRD # 143317		 02/18/20
Smith, Raymond A. aka Smith, Robert Desist & Refrain Order 04/10/08
Smith, Raymond A. a.k.a. Smith, Ray Administrative Action 10/24/12
Smith, Robert A. Desist & Refrain Order 04/19/05
Smith, Ron Desist & Refrain Order 11/07/07
Smith, Scott Cameron Administrative Action
See also Escrow Licensee Listing # 96DBO-41814		 07/27/20
Smith, Ted Desist & Refrain Order 06/11/03
Smith, Tracy Emery Administrative Action 10/23/20
SMS Financial, Inc. Administrative Action
See also CFL Licensee Listing # 6073561		 04/19/22
Smyth, Grace Desist & Refrain Order 03/06/07
Smyth, Peter Administrative Action 07/01/08
Smythe, Richard Administrative Action
See also NMLS License Listing # 355637		 12/15/21
Snellgrose, Hal Administrative Action 03/29/16
SNC Asset Management, Inc.; SNC Investments Inc. Desist & Refrain Order 05/18/11
Snow Capped Peaks Group LLC Administrative Action 12/30/19
Snow, Gary Desist & Refrain Order 07/10/07
snsp08@gmail.com Desist & Refrain Order 04/16/08
Snyder, Alexis Desist & Refrain Order and Consent 02/22/07
Snyder, Allan D. Administrative Action 02/22/07
Snyder, Jeffrey L Desist & Refrain Order 05/14/02
Snyder, Stan Desist & Refrain Order and Consent 02/22/07
Snyder, William L. Desist & Refrain Order 05/14/02
Snyder-Craft Company, Inc. Administrative Action 05/01/09
So Cal Realty Administrative Action 04/05/18
SO-CAL Escrow Center, Inc. Administrative Action 04/15/15
Sign Gypsies LLC Administrative Action 02/09/23
Sign on the Line Inc. Administrative Action
See also CFL # 60DBO-44713		 12/30/22
Soaring Eagle, Inc. Administrative Action
See also CFL # 60DBO-93196		 12/30/22
Strategic Real Estate Capital, Inc. Administrative Action
See also CFL # 60DBO-141010		 12/30/22
Superior Home Loans, LLC Administrative Action
See also CFL # 60DBO-146826		 12/30/22
SoCal Development Fund, LLC Desist & Refrain Order 03/06/06
Socal First Funding Group, Socal First Funding Group FX Fund 1 Desist & Refrain Order 02/23/09
SoccerTots, Inc. Desist & Refrain Order 04/08/08
Social Mortgage, LLC Administrative Action
See also  CFL Licensee Listing # 60DBO-143811		 04/19/22
Societe Generale Financial Corporation Administrative Action
See also  CFL Licensee Listing # 60DBO-71056		 12/30/19
SOCM Enterprises Desist & Refrain Order *08/15/05
Sodhi, Janamjot Singh aka. Jimmy Sodhi Desist & Refrain Order 01/09/09
Sodhi-Gilbert, Kid Citation and Desist & Refrain Order 08/14/06
Sohn, Kyung T. Desist & Refrain Order 05/08/09
Solana Financial, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-44332		 04/19/22
Solar Construction Lending, LLC Administrative Action
See also CFL Licensee Listing #’s 60DBO-59325, 60DBO-64177, 60DBO-64178		 04/19/22
Solara360, LLC Administrative Action 10/13/15
Solare Desist & Refrain Order 06/08/03
Solare Corporation Desist & Refrain Order 06/08/03
Solare MedSpa Desist & Refrain Order 06/08/03
Solare MedSpa Licensing Program, Inc. Desist & Refrain Order 06/08/03
Soleil, Jean-Claude Administrative Action 03/14/07
Solek, Jonathan Joseph Administrative Action; See also NMLS licensee listing #1028939 11/06/17
Solid Land MAS Corporation Desist & Refrain Order 04/19/10
Solid Solution Escrow Administrative Action 12/10/13
Solid Source Escrow Administrative Action 12/01/11
Solium Financial Services LLC Administrative Action 02/05/20
Soliz, Scedena Desist & Refrain Order 09/20/06
Sollenne, Peter Ronald Desist & Refrain Order; See Also Life Partners, LLC 09/04/14
SoLo Funds, Inc. Administrative Action 05/08/23
Solomon Internet Funding, Inc. Desist & Refrain Order 03/16/11
Solomon, Helin Administrative Action
See also NMLS Licensee Listing # 1688677		 01/05/22
Solomon, Shannon Administrative Action
See also NMLS Licensee Listing # 278217		 01/27/22
Soltero, Robert III Administrative Action 03/17/06
Somerset Mortgage Lenders; Somerset Investors Corp Administrative Action 12/15/10
Somma, James G. Withdrawal of Desist & Refrain Order, see also International Energy and Resources 06/07/10
SOM Financial Services Desist & Refrain Order 01/21/03
Somatika Incorporated Administrative Action 02/21/20
Son, Peter C. Desist & Refrain Order 05/18/11
Sound Finance Corporation Administrative Action
See also CFL Licensee Listing # 60DBO-143478		 07/11/22
Sound Mortgage, Inc. Summary Revocation Order 01/01/14
Song, Ru Hua Desist & Refrain Order 07/17/07
SongBoy.com, Inc. Desist & Refrain Order 07/19/02
SongPro.com, Inc. Desist & Refrain Order 07/19/02
Sonic Payday, Limited Desist & Refrain Order 05/10/06
Sonic Payday, Ltd. Desist & Refrain Order, see also Desist and Refrain dated 03/06/07 05/10/06
Sonoma Financial Group Desist & Refrain Order 08/07/07
Sonoma Trade Exchange Desist & Refrain Order 05/06/02
Sonterra Retail Center, LLC Desist & Refrain Order 05/11/09
Soper, Michael Desist & Refrain Order 04/13/09
Sopprani, Juan aka Juan S. Ludena Administrative Action 03/18/19
Soref, Dror Civil Action 02/25/14
Sorial, Magdy John Administrative Action 01/12/09
Sorrento Escrow, Inc. Administrative Action 03/14/08
Sortis Financial, Inc. Administrative Action; See also CFL Licensee Listing #603G217 04/03/19
Sorto, Norma Administrative Action 06/09/17
Sotheby’s Financial Services California, Inc. Administrative Action
See also CFL Licensee Listing #6030237		 04/03/19
Soto, Bianca Desist & Refrain Order 06/02/05
Source Capital Group, Inc. Administrative Action 10/10/16
Source Drilling Program I, LP; Source Drilling Program II, LP;Source Drilling Program III, LP Desist & Refrain Order 08/20/07
Source Oil and Gas, Inc. Desist & Refrain Order 08/20/07
South Bay Escrow Co. Administrative Action; See also FSD Licensee Listing #963-0277 07/21/16
South Bay Funding, Inc.  Administrative Action 11/30/11
South China Investments, Inc. Civil Action 06/28/05
South County Realty & TD Investments Desist & Refrain Order 11/09/09
South Lake Mortgage Capital, Inc. Administrative Action 04/12/07
South Trust Fund, Inc. Administrative Action 05/01/09
South West Consulting Enterprises, Inc. Administrative Action 09/12/22
Southstar Funding, LLC Administrative Action 09/16/08
Southern California Realty & Mortgage Administrative Action 04/05/18
Southern Cascades Finance Corporation Administrative Action 05/11/17
Southern Funding Alliance USA, LLC. Summary Revocation Order 01/01/14
Southern Pacific Capital, LLC Civil Action 05/15/02
Southern Pacific Equities, LLC Civil Action 05/15/02
Southern Pacific Group Civil Action 05/15/02
Southern Star Mortgage Administrative Action 09/18/07
Southmor Mortgage Corporation Administrative Action 07/15/04
SouthStar Funding, LLC Administrative Order 05/27/07
Southwest Development Fund, Phase 1 (Series A) LLC Desist & Refrain Order 03/06/06
Southwest Development Fund, Phase 1 (Series B) LLC Desist & Refrain Order 03/06/06
Southwest Development Fund, Phase 1 (Series C) LLC Desist & Refrain Order 03/06/06
Southwest Escrow Corporation Administrative Action 07/17/12
Southwestern and Pacific Specialty Finance, Inc. Administrative Action 03/26/07
Souve, Will Administrative Action
See also NMLS Licensee Listing # 307177		 12/07/21
Sovereign Equity,LLC Desist & Refrain Order 06/03/08
Sovereign Strategic Mortgage Fund, LLC  Administrative Action 11/16/11
Soyodo Group Holdings, Inc. Desist & Refrain Order 07/17/07
Span Capital LLC Administrative Action; See also CFL Licensee Listing # 60DBO-87587 04/03/19
Spanic, Igor Administrative Action 10/12/11
Spangler, Drew I. Desist & Refrain Order 08/31/06
SpanishFUN Desist & Refrain Order 12/08/06
Sparhawk, Derick Administrative Action
See also NMLS Licensee Listing # 1558554		 12/24/21
Sparks, Foye W. Desist & Refrain Order; Situation to Desist and Refrain Order 10/06/09
Sparta Financial, LLC Administrative Action 05/01/09
Sparta Special Servicing LLC Administrative Order 06/23/10
Spayde, Victor Administrative Order
See also NMLS Licensee Listing # 1582085		 01/02/22
SPD Financial Services, LLC Desist & Refrain Order 08/27/08
Special K Enterprises, Inc. Desist & Refrain Order 01/13/12
Special Value Bond Fund II, LLC Administrative Action 05/01/09
Specialized Lending (Pete Estrada, Jr.) Administrative Action 06/16/10
Specialty Funding Solutions, LLC. Administrative Action 06/25/18
Specialty Mortgage Corporation Administrative Action *06/19/06
Spectrum Capital Group Administrative Order 11/17/10
Speed Check Cashing (CDDTL) Administrative Action 03/24/09
speedescrow.com Administrative Action 05/09/19
Speed Check Cashing  (CFL) Administrative Order 05/01/09
Speedy Cash Administrative Action; See also FSD Licensee Listing # 603F589 and # 1000854 10/05/18
Speedy Cash (Galt Ventures) Desist & Refrain Order, Settlement Agreement 10/30/08
Special Value Absolute Return Fund, LLC Administrative Action 05/12/10
Spectrum Financial Group Administrative Action 03/21/08
Spectrum Funding Group, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-86583		 04/10/20
Staylor Mortgage Lending Administrative Action; See also licensee listing CFL #60DBO-91683 04/03/19
Speedy Payday Advance Desist & Refrain Order 07/21/08
Speedy Payday Loans Desist & Refrain Order 08/27/08
Spencer, Anthony Administrative Action 05/15/23
Spenser Capital Group, Inc. Administrative Order; See also licensee listing FSD #603-I060 10/13/15
Spherion Financial Corporation  Administrative Action 03/28/12
Spicer Financial Group, LLC. Administrative Action NMLS #1373315 08/18/17
Spigno, Luca Silverio Administrative Action; See also NMLS licensee listing #1569753 06/09/17
Spindler, Barton L Administrative Action 07/31/18
Spiridon, Daniela M. aka Daniela M. Schroeder Administrative Action 01/16/15
Spirit of California Entertainment Group Inc. Desist & Refrain Order 01/26/15
Splitit USA Inc. Administrative Action 04/03/20
Spero, Robin Desist & Refrain Order 05/24/12
Spoonemore, Thomas Desist & Refrain Order 12/30/02
Sportball Systems USA, LLC Administrative Action 08/05/20
Sports Dimensions,Inc. Desist & Refrain Order 09/26/06
Sports Investment Fund Desist & Refrain Order 08/17/07
Sportsman Escrow, Inc. Administrative Order 09/07/11
Sportsmobile IP, Inc. and Sportsmobile Texas Inc. Administrative Action 04/29/22
Spotya; Spotya.com Administrative Order 11/07/06
Spradlin, Zenaida C. Administrative Action
See also Office of Administrative Law Decision – OAH No.: 2013090955		 07/21/09
Spradley, Michael Desist & Refrain Order 07/23/07
Sprague, Mark L. Desist & Refrain Order 12/24/02
Sprankle, Jeffrey Christopher Administrative Order 08/20/13
Spray On Bedliners Development Corp., Spray-on Bedlineers, LLC Desist & Refrain Order 07/21/09
Spring Break ’83; Spring Break ’83 Distribution, LLC; Spring Break ’83 Production, LLC Desist & Refrain Order 03/06/08
Spring EQ, LLC Administrative Action 04/27/18
Springboard CDFI Administrative Action; See also CFL # 60DBO-62401 04/03/19
Sprint Funding Corporation Administrative Action *11/13/06
Sprout Mortgage, LLC. Administrative Action
See also CRMLA # 41DBO-157070		 11/15/22
Spuck, Robert Rescission of Desist & Refrain Order and Desist & Refrain Order 11/01/07
Spunky Girl Productions Desist & Refrain Order; See also  Office of Administrative Law Decision No. L 2006040382 01/04/06
Spyglass Equity Systems, Inc. Desist & Refrain Order 03/28/11
SQN Venture Income Fund II, LP Administrative Action
See also CFL # 60DBO-102551 		 12/30/22
Square, Inc. Administrative Action 08/04/21
Squires, Mark D. Desist & Refrain Order 03/14/02
SRE Mortgage Alliance Inc. Administrative Action
See also CRMLA Licensee Listing # 4131347		 03/14/22
SRI Capital LLC Administrative Action
See also CFL Licensee Listing # 60DBO-93102		 04/03/20
Srun, Londet, J. aka Srun L J aka Srun, Sr., John. Desist & Refrain Order 09/10/08
SS Purchco, LLC Administrative Action 06/11/20
SSFC, LLC. Administrative Action 06/08/17
St. Andre, Eric Desist & Refrain Order 08/26/02
St. Andre’s Automotive Accessories Desist & Refrain Order 08/26/02
St. Armands Group LLC aka St. Armands Services LLC Desist & Refrain Order 01/30/12
St. Clair, Gary Alan Administrative Action 05/12/10
St. Fin Corp. Administrative Action; See also CFL Licensee Listing #603C571 06/24/19
St. Rose, Richard Patrick Anthony Administrative Action 08/23/16
Stahl, Christopher Desist & Refrain Order 09/08/11
Standard Investment Adviser; Standard Investment Chartered, Inc. Administrative Order 04/13/13
Standard Professional Services, LLC Administrative Action
See also CFL Licensee Listing # 603A305		 04/03/20
Stamper, Samuel Todd Administrative Action
See also NMLS licensee listing #361551		 02/11/20
Standard Home Lending Inc.  Administrative Order 11/21/11
Standard Home Loans, Inc. Administrative Action
See also CFL # 6030076		 04/16/21
Standpoint Capital, LLC. Desist & Refrain Order 06/17/15
Stanford Capital Partners, Inc. Administrative Order 10/20/10
Stange, John Jeffrey Administrative Action
See also NMLS #389291		 04/15/15
Stann, Robb Administrative Action 08/07/20
Stafford, Sam S. Desist & Refrain Order 05/11/09
Stagecoach Retail, LLC Desist & Refrain Order 05/11/09
Standefor, Janetta Desist & Refrain Order 05/14/08
Stanford Capital Partners High Yield Fund, LLC Administrative Action 08/11/10
Stanton Optical, LLC Desist & Refrain Order 11/04/10
Stanton Optical, LLC Desist & Refrain Order 11/04/10
Stanton, Robert Desist & Refrain Order 04/29/03
Stapp, Saundra Administrative Action
See also NMLS Licensee Listing # 1924380		 10/05/20
Stanski, Inc. Administrative Action 12/14/17
Star 8 Financial Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-85685		 04/03/20
Star Cash Processing Desist & Refrain Order 04/29/10
Star, Daniel C. (CT Loans) Desist & Refrain Order 09/28/09
Star, Daniel C. (GC Loan Center) Administrative Action 10/12/11
Star Escrow Co., Inc. Administrative Action; See also FSD licensee listing #963-0288 See also Office of Administrative Law Decision – OAH No. L2003020312 04/01/09
Starke, George Desist & Refrain Order 06/02/05
Star Group, LLC Desist & Refrain Order 06/02/14
Starlight Film Partners, III, LLC, Starlight Global Entertainment Desist & Refrain Order (see also Lucian Development) 05/05/09
Starmax Entertainment Desist & Refrain Order 09/28/07
StartupHomeCare Administrative Action 10/22/13
State Assistance Fund for Enterprise, Business and Industrial Development Corporation (SAFE-BIDCO) Administrative Action 07/21/17
State Bank of India (California) Consent Order 03/20/13
State Bonding California Desist & Refrain Order 05/02/12
State DPS Legal Aid Information Administrative Action 03/23/18
State Financial Services, LLC Administrative Action 05/12/10
Stavropoulos, James Administrative Action
See also NMLS Licensee Listing # 1400337		 01/02/22
Stauske, Laurel Desist & Refrain Order 04/14/05
Stead Financial, Inc. Administrative Action; See also FSD Licensee Listing #605-4163 02/18/15
Steadfast Finance dba Day, Richard Alan Mitchell Administrative Action
See also CFL Licensee Listing # 603L273		 04/28/20
Stealth Education Services Desist & Refrain Order 06/26/07
Stealth REI Club, LLC. Desist & Refrain Order 06/26/07
Stearns Lending, Inc. Administrative Action See also licensee listing FSD #s : 413-0495, 603-G129, 603-G385, 603-G386, 603-G387, 603-H918, 603-H970, 603-H987, and 603-I1119 01/04/16
Steele, Craig Desist & Refrain Order 05/19/08
Steele, Jr., Richard K. Desist & Refrain Order 11/22/11
Steger, Ronald R. Desist & Refrain Order 05/08/02
Stein, Ronald Administrative Action 07/26/07
Stein, Warren Marshall Administrative Action
See also NMLS licensee listing # 1509666		 05/12/17
Stein & Ross Group Administrative Action 10/11/22
Steinberg, Ronald P. Desist & Refrain Order 05/13/11
Stellar Capital, Inc. Summary Revocation Order; Click here to search licensee details 12/11/15
Stellar Enterprise Associates, Inc. Administrative Action; See also Office of Administrative Final Decision – OAH No. 2012110338 07/11/12
Stellar Financial Planning Administrative Action 01/14/19
Stengell, Steven S. aka Stengell, Stephen Scott Administrative Action; See Also Office of Administrative Law Decision – OAH No.: N2007120338 11/30/07
Stengell, Steve S. Administrative Action; See Also Office of Administrative Law Decision – OAH No.: N2007120338 05/23/17
Sterk Investments, Inc. Administrative Action; See also CFL licensee listing # 60DBO-88175  04/03/19
Sterling Acceptance Corporation Administrative Action; See also CFL licensee listing # 603F963 04/03/19
Sterling Capital Mortgage Company Administrative Action 08/03/05
Sterling Mortgage Administrative Action; See also FSD licensee listing #4150025 10/23/18
Sterling, Jose Desist & Refrain Order 10/20/04
Stereo Vision Entertainment, Inc. Desist & Refrain Order 08/26/14
Stern, Jeffrey A. Administrative Order 02/27/15
Stephan, Michael R. Administrative Action 12/22/17
Stephens, Derrick See also Stephens, Derrick D. Desist and Refrain Order Administrative Action 06/22/16
Stephens, Derrick D. aka Stephens, Derek aka Rowe, Derrick Desist & Refrain Order 09/11/08
Steve Austin Productions, LLC Desist & Refrain Order 12/14/06
Steve Susoeff, LLC Administrative Order 04/04/19
Stevenson, James Desist & Refrain Order 06/30/11
Stevenson, James Oliver Administrative Order 12/07/15
Stevenson, Michael E Administrative Action; See also Office of Administrative Law Decision – OAH No. L2006010092 07/26/06
Stevens, Richard Anthony Administrative Action
See also NMLS licensee listing # 1429367		 10/18/19
Stevenson, M. E. Administrative Action
See also Office of Administrative Law Decision – OAH No. L2006010092 		07/26/06
Steve’s Pizza Administrative Action 04/10/13
Steve’s Pizza Branding Company Administrative Action 04/10/13
Steve’s Pizza Franchise Corporation Administrative Action 04/10/13
Steve’s Place, Inc Administrative Action 04/10/13
Stewardship Wealth Management LLC Administrative Action
See also Investment Adviser Firm Summary
– CRD # 274031		 01/30/20
Stewart, David William Administrative Action 03/09/18
Stewart, John D. Desist & Refrain Order; Administrative Action 07/06/07
Stewart, Michael J. Desist & Refrain Order 05/28/02
Stewart, Paul J. Rescission of Desist & Refrain Order 06/14/11
Sticking Together Athletes Retirement, LLC Administrative Action 06/25/09
Stifel, Nicolaus & Company, Incorporated Administrative Action 05/05/10
Stilt Inc. Administrative Action 06/23/17
Stipek Financial Services, LLC Administrative Action; Desist & Refrain Order 06/29/06
Stipek Securities, LLC Administrative Action; Desist & Refrain Order 06/29/06
Stipek, Leslie Clark Administrative Action; Desist & Refrain Order 06/29/06
Stirling Capital Management Administrative Action; Desist & Refrain Order 04/01/14
Stock Advisors, Inc. Administrative Action 03/27/06
Stock Option Academy dba Stock Option Coach Administrative Action 03/29/23
StockCross Financial Services, Inc. Administrative Action
See also CRD # 6670 and CRD # 2400211 		 07/09/21
Stokes, Shane Administrative Action
See also NMLS Licensee Listing # 1606121		 01/02/22
Stoll, Joshua P.  Administrative Action 03/24/23
Stoddart-Lapham, Misty Administrative Action
See also NMLS Licensee Listing # 290023		 12/23/21
Stone, David M. Desist & Refrain Order 12/24/02
Stone, Erik Kees Desist & Refrain Order *02/02/07
Stone, Michael Desist & Refrain Order 07/11/05
Stonebriar Mortgage Corporation Administrative Action
See also CFL # 60DBO-84668 		 04/16/21
Stonecreek Financial Corporation Administrative Action 08/08/07
Stonegate Asset Company II, LLC Administrative Action; See Also FSD Licensee Listing # 60DBO-88176 04/03/19
Stoneridge Development Partners, LLC, Stoneridge Homes, LLC Desist & Refrain Order 04/26/10
Stoneridge Escrow Company Administrative Order 11/09/11
Stonell, Rick Administrative Action 04/05/06
Stop-N-Shop Desist & Refrain Order 05/22/08
Storage US, Storage USS II, Storage US, LLC Desist & Refrain Order 09/16/08
StoreFront Lenders, LLC a.k.a. StoreFrontLender.com a.k.a. DOT818.com a.k.a. Dot818 Administrative Action 07/14/17
StoreFrontLender.com Administrative Action 07/14/17
Story, Larry Desist & Refrain Order 05/04/04
Stoveact, Inc. Desist & Refrain Order 03/25/02
Stowell, Glenn Desist & Refrain Order 01/11/05
Stowell, Rick Administrative Action 04/05/06
Strange, Quintina aka Strange, Quintana aka Strange, Tina Desist & Refrain Order 05/25/11
Strata Productions, Inc. (PDF) Desist & Refrain Order 06/08/05
Strata Productions, Inc. (PDF) Desist & Refrain Order 03/18/02
Strategic Capital Partners, LLC Administrative Action
See also CFL # 60DBO-56012		 04/16/21
Strategic Investment Services Administrative Action 01/03/06
Strategic Stock Intelligence, Inc. Desist & Refrain Order 05/28/02
Strategic Wealth Advisors Group Services Inc. Administrative Action
See also Investment Adviser Summary CRD # 2187695 and CRD # 304480		 02/23/21
Stratford Securities, LLC Administrative Action
See also FINRA Broker-Dealer Summary – CRD # 164954		 01/21/21
Stratford, Stephen R. Desist & Refrain Order 01/28/14
Strathern, Jeffery Desist & Refrain Order 08/18/09
Stratton, Rhonda Desist & Refrain Order 07/25/05
Stratus Franchising, LLC. Administrative Order 09/29/15
Strauss, Steven  (Stoveact, Inc.) Desist & Refrain Order 03/25/02
Strauss, Steven Order Withdrawing Notice of Intent 03/25/02
Strazzulla, Dominic F. Desist & Refrain Order 06/05/02
StreamEraTV.com Administrative Action 09/15/20
Streamline Division Administrative Action; See Also FSD Licensee Listing # 413-0924 06/05/15
Street Corner Administrative Action 11/07/22
Streeter, Bryon H. Desist & Refrain Order 12/24/02
Strickly’s Inc. Administrative Action 08/03/10
Strike Acceptance, Inc. Administrative Action 10/25/17
Strive Finance Administrative Action 04/24/18
Stroh, Bradford Administrative Action 05/29/08
Stroller Spa Franchising, LLC Administration Action 04/02/14
Stroller Strides, LLC Desist & Refrain Order 02/15/05
Struans Media, Inc. Administrative Action 01/04/21
Strong Home Mortgage, LLC Administrative Action
See also  CFL Licensee Listing # 60DBO-83885		 04/03/20
Strong Wealth Management LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 152229		 09/08/22
Strong’s Capital Investment, Inc. Desist & Refrain Order 08/05/09
Stroupe, Anthony Desist & Refrain Order 12/19/02
Structured Investments, LLC Stipulation and Desist & Refrain Order 05/13/11
Structured Marketing, LLC Desist & Refrain Order 06/15/15
Stuart, Carolyn Tobiason Desist & Refrain Order & Administrative Order 12/04/14
Stuart, William Robinson Desist & Refrain Order & Administrative Order 12/04/14
Stuck, Richard Allen Desist & Refrain Order 01/24/05
Students First, LLC Administrative Action 08/23/22
Student Loan Advocates Consulting Services Inc. Administrative Action 09/29/22
Student-Fitzpatrick, Kristin Administrative Action 06/17/15
Studio Partners, LLC Desist & Refrain Order 01/29/07
Stutes, Dennis W. Desist & Refrain Order 03/25/08
SV 1898 Inno Consulting LLC; Zhang, Jing Consent Order 04/20/23
SV Financial Services, LLC  Administrative Action
See also CFL # 60DBO-124279		 12/29/22
SVB Financial Group  Administrative Order 10/12/10
SVB Innovation Credit Fund VIII, L.P. Administrative Action
See also CFL # 60DBO-65349		 05/06/21
SVC Financial and Management Group Administrative Action 12/21/07
Su Casa De Cambio Cesar Chavez, Inc. Desist & Refrain Order 07/16/08
Su, Susan Desist & Refrain Order 09/16/10
Sue, Allen Administrative Action; See also NMLS licensee listing #344019 05/08/18
Success Investments, Inc. Administrative Action 03/18/11
Subway (a Florida limited liability company) Administrative Action 11/04/20
Suite, Gerard (aka Gerard Sweet aka Raul Jerad Anthony aka R.J Anthony aka Rawle Gerard Suite aka Gerard S. Rawle aka Rawle Gerard Girard) Civil Action 07/25/06
Suliman, Suliman A. Administrative Action
See also NMLS Licensee Listing # 253626 		 05/02/12
Sullenger, Richard H. Administrative Action 12/02/13
Sullivan, Brian Desist & Refrain Order (U.S. Biofuels, Inc.) 11/04/10
Sullivan, Brian T Desist & Refrain Order 02/20/07
Sullivan, Colin Hayes Administrative Action 01/05/16
Sullivan, Colin Mark Administrative Action 01/05/16
Sullivan, Gabriella R Desist & Refrain Order 02/20/07
Sullivan-Heirs Development Phase II Desist & Refrain Order 09/08/08
Sumaria Global, LLC Desist & Refrain Order 05/21/12
Summerfield Ventures, Inc. Desist & Refrain Order 08/03/05
Summerfield, Paul Desist & Refrain Order 08/03/05
Summerlin Financial Inc. Administrative Action; See also licensee listing CFL # 60DBO-82706 04/03/19
Summit Business Credit, Inc. Administrative Action 11/07/06
Summit Financial Resources, LP Administrative Action 11/13/12
Summit Funding Administrative Action; See also FSD licensee listing #’s 603I740, 6054380, 6073351 and 6073459 03/27/18
Summit Funding Enterprise Administrative Action; See also FSD licensee listing #’s 603I740, 6054380, 6073351 and 6073459 03/27/18
Summit Funding, Inc. dba Blue Adobe Mortgage Administrative Action; See also FSD licensee listing #’s 603I740, 6054380, 6073351 and 6073459 03/27/18
Summit Lending of Hawaii (now known as Northstar Alliance Mortgage, Inc.) Administrative Action 10/30/09
Summit Mortgage Corporation Administrative Action; See also licensee listing FSD #413-0421 01/06/16
Summit Partners, Inc Administrative Order 11/07/06
Summit Point Escrow, Inc. Administrative Order 10/23/14
Sumpter, Mark E. Administrative Action; See also Office of Administrative Law Decision – OAR No. L2008040381 03/16/07
Sun American Mortgage Company Administrative Action See also licensee listing FSD #4130766 01/03/19
Sun Cash of SD, LLC Administrative Action; See also licensee listing FSD #100-0201, #100-0202, #100-0203 05/13/08
Sun Daisy Escrow, Inc. Administrative Order 03/26/10
Sun Noor Corporation Administrative Action; See also Office of Administrative Law Decision – OAH No. N2000100368 11/25/02
Sun-Noor Corporation Administrative Action; See also Office of Administrative Law Decision – OAH No. N2000100368 11/25/02
Sun Valley Financial of Utah, Inc. – 603E448 Sun Valley Financial of Utah, Inc. – 603F584 Administrative Action 05/12/10
Sunbelt Financial Services aka Sunbelt Home Improvement Loans Administrative Action 05/12/10
Sunburst Holding Company Desist & Refrain Order 03/21/08
Suncoast Mortgage Servicing of Florida, Inc. Administrative Action 05/12/10
SunCosmic Builders Inc. Desist & Refrain Order 02/02/22
Sunnv, Olson Desist & Refrain Order 10/07/05
Sunnylife Global, Inc. Administrative Action 09/16/15
SunnyMTG.com866-768-CASH, LLC Administrative Action 06/02/10
Sunray Mortgage LLC Administrative Action
See also CFL Licensee Listing # 60DBO-100917		 04/03/20
Sunrise Capital Partners, LP, Sunrise Capital Partners LLC Desist & Refrain Order 05/17/07
Sunrise Escrow Corporation Administrative Action 06/19/09
Sunset Mortgage Company LP (PDF) Desist & Refrain Order 05/17/08
Sunset One Escrow, Inc. Administrative Order; See also FSD Licensee Listing #963-2533 See also Office of Administrative Law Decision – OAH No. 2015020143 01/22/15
Sunshine Check Cashing Administrative Action 07/09/07
Sunshine Fresh Produce Desist & Refrain Order 07/28/03
Sunshine Liquor, Inc. Administrative Action 07/09/07
Sunshine Mortgage Company Administrative Action 04/13/09
Sunshine Real Estate Development Desist & Refrain Order 12/01/04
SunTrust Equipment Finance & Leasing Corp. Administrative Order; See also Licensee listing FSD #:603-E477 02/19/16
Suntrust Leasing Corporation Administrative Order; See also Licensee listing FSD #:603-E477 02/19/16
Suntrust Mortgage, Inc. Administrative Order; See also licensee listing FSD #413-0238 06/16/10
Super Absorbent Company Administrative Action; See also Office of Administrative Law Decision – OAH No. L2007050141 04/24/07
SuperGlass Windshield Repair, Inc. Administrative Action 05/30/20
SuperShuttle Los Angeles, Inc Desist & Refrain Order; Stipulation 05/09/13
Superior Escrow Solutions Administrative Action; See also Office of Administrative Law Decision – OAHNo. 2015010064 08/20/05
Superior Financial, LLC Administrative Action 01/04/19
Superior Traffic Controls, Inc Desist & Refrain Order; See also Superior Traffic Controls, LLC 08/22/14
Superior Traffic Controls, LLC Desist & Refrain Order; See also Superior Traffic Controls, Inc 03/30/11
Surefast Mortgage Corp – 603C048 Surefast Mortgage Corp – 603C049 Administrative Action 06/07/10
Surfview Entertainment Desist & Refrain Order 01/04/06
Superior Home Loans Administrative Action 05/12/10
Surety Financial Services Administrative Order 5/2/2012
Susana Oaks Postal Center Desist & Refrain Order 07/17/08
Sushko, Alexsandr Fedorvich Administrative Action 04/24/18
Susquehanna Salt Lake, LLC Administrative Action;See also CFL licensee listing # 60DBO-73577 04/03/19
Svenson, Cheryl Caspillo Administrative Action 08/08/18
SVL Investment Management dba SVL Holding Corporation Administrative Action; See also Office of Administrative Law Decision 04/29/04
SW Lenders LLC Administrative Action
See also CFL licensee listing # 60DBO-83948 		04/03/19
Swain, Theodore Desist & Refrain Order 03/06/06
Swannson Investment Group, Inc. Desist & Refrain Order 12/14/10
SWBC Mortgage Corporation Administrative Action
See also FSD licensee listing #4130449 		10/02/17
Sweeney, James Albert II; Bigco-op, Inc.;  Administrative Action See also Office of Administrative Law Decision – OAH No.: L2007070313 02/07/08
Sweeney, James Albert II Desist & Refrain Order, see also Office of Administrative Hearing Order – OAH No.: L2007070313 10/23/06
Sweethoney Dessert, Inc. Administrative Order 04/19/17
Sweesy, Jack Desist & Refrain Order 03/13/06
Sweesy, Ulric J. Desist & Refrain Order 03/13/06
Sweesy, Ulric Jack Desist & Refrain Order 03/13/06
Sweet Assets Franchise Group, Inc. Administrative Action 06/29/20
Sweet Leaf Capital 1, LLC Administrative Action 04/26/18
Sweet Leaf Capital Management, LLC Administrative Action 04/26/18
Sweet Life Homes, LLC. Administrative Action 09/01/17
Sweezey, Laura Jean Administrative Action 04/22/19
Swell Records Desist & Refrain Order *03/19/03
Swift Escrow Company, Inc. Administrative Action 09/17/18
swift360pays.com; summittrade24.com; smartoption24.com; supergains360.com; support@swift360pays.com; support@summittrade24.com; support@smartoption24.com; support@tradehubs24.com; support@supergains360.com Administrative Action 06/24/21
support@visque.capital, aka Visque Capital; www.visque.capital Desist & Refrain Order 04/19/23
Swim Cool Systems Civil Litigation 11/16/07
Swiss Escrow-Service Corp. Desist & Refrain Order 05/05/08
SwissGuard International Stipulation to Desist & Refrain Order and Desist & Refrain Order 01/19/10
SWOL, Inc. Desist & Refrain Order *03/19/03
SWOL, LLC Desist & Refrain Order *03/19/03
Sy, Bernandette Alabanza Desist & Refrain Order 07/24/04
Sy, Byron Desist & Refrain Order 07/24/04
Sykes, Rachel Administrative Action
See also NMLS licensee listing #876322		 08/08/19
SYNC Funding LLC Administrative Action
See also CFL Licensee Listing # 60DBO-90658		 04/03/20
Synchronized Funding, LLC Administrative Action 04/24/07
Syndicate Mortgages, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-94451		 04/03/20
Syler, Helen Desist & Refrain Order; see also Szutor, Laszio Desist & Refrain Order; See also Rescission 05/04/06
Synergie Capital Management Administrative Action
See Also CRD # 316823		 01/21/22
Synergist Wealth Advisors, LLC Administrative Action 06/24/19
Synergy Financial Management Corporation Administrative Order 07/07/08
Synergy Financial Partners, LLC Administrative Action; See also Licensee listing CFL # 603K813 01/04/19
Synergy Funding Administrative Order (CFL) 05/01/09
Synergy Oil, LLC Civil Action 06/24/14
Synergy One Lending, Inc. Administrative Action; See also FSD licensee listing #4131356 04/02/19
System4 – National Markets Desist & Refrain Order 06/24/09
Sity Trade Administrative Action 09/27/22
Sytrex Trade Administrative Action 09/27/22
Sziklai, Anthony D. Desist & Refrain Order and Stipulation 03/14/11
Szutor, Laszlo Desist & Refrain Order; See also Rescission of Desist & Refrain for Laszlo Szutor (06/05/06) *05/04/06

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Last updated: Jun 1, 2023 @ 8:11 am