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 |