Actions, Order and Administrative Hearing Decisions: A

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Subject Order Issued Date Issued
A Better Chance Services, Inc. Administrative Action 12/27/17
A Better Choice Escrow, Inc. Administrative Action 05/10/06
A L G Capital, Inc. Civil Action 04/16/08
A Markwell Shaw Energy Company Desist & Refrain Order 09/24/15
A M Financial Administrative Action 05/12/10
A New Hope, Inc Desist & Refrain Order 03/17/11
A P Energy Administrative Action 10/02/07
A Plus Financial Administrative Action; Erratum 05/14/09
A.B.C.O. Leasing, Inc. Administrative Action
See Also FSD Licensee Listing #6039988		 05/07/13
A.C.L.I. -1, LLC Desist & Refrain Order 07/14/10
A.C.T. Escrow Administrative Action
See also # 963-2352		 04/28/14
A.G.S Investments, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-102863		 04/03/20
A.L.I., Inc. Administrative Action
See also Office of Administrative Law Decision –  OAH No. L2007090041 		08/07/07
A.L. Zimmerman Capital, LLC Administrative Action 07/30/18
A.R.M. Solutions, Inc. Administrative Action 11/01/23
A.T. Lloyd’s, Inc. Administrative Action 03/16/16
A+ Escrow Administrative Action 11/02/07
A&S Capital Management, LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 146343		 01/30/20
A-1 Check Cashing Desist & Refrain Order and Order Voiding 01/19/12
A-1 Check Cashing; Michael A. Dillingham, A-1 Check Cashing and Payday Cash Advance of Ukiah, A-1 Check Cashing and Payday Cash Advance of Willits, A-1 Check Cashing of Eureka, A-1 Check Cashing of Woodland, A-1 Check Cashing of Yuba City Desist & Refrain Order 01/22/08
A-1 Check Cashing and Payday Cash Advance of Ukiah Desist & Refrain Order 01/22/08
A-1 Check Cashing and Payday Cash Advance of Willits Desist & Refrain Order 01/22/08
A-1 Check Cashing of Anderson Desist & Refrain Order; Citations; Order Voiding Deferred Deposit Transaction 10/30/07
A-1 Check Cashing of Chico Desist & Refrain Order; Citations; Order Voiding Deferred Deposit Transaction 10/30/07
A-1 Check Cashing of Corning Desist & Refrain Order; Citations; Order Voiding Deferred Deposit Transaction 10/30/07
A-1 Check Cashing of Eureka Desist & Refrain Order 01/22/08
A-1 Check Cashing of Marysville Desist & Refrain Order; Citations; Order Voiding Deferred Deposit Transaction 10/30/07
A-1 Check Cashing of Orland Desist & Refrain Order; Citations; Order Voiding Deferred Deposit Transaction 10/30/07
A-1 Check Cashing of Redding Desist & Refrain Order; Citations; Order Voiding Deferred Deposit Transaction 10/30/07
A-1 Check Cashing of Red Bluff Desist & Refrain Order; Citations; Order Voiding Deferred Deposit Transaction 10/30/07
A-1 Check Cashing of Woodland Desist & Refrain Order 01/22/08
A-1 Check Cashing of Yuba City Desist & Refrain Order 01/22/08
A-1 Premium Budget, Inc. Administrative Action 07/19/12
A1 Financing Services Administrative Order
See also FSD Licensee Listing #603-H339		 07/11/12
A1 Mortgage Group, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-93679		 04/03/20
A2Z Escrow Services Administrative Action 04/04/08
A-Frame Capital, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-72062		 04/19/22
A-List Escrow Administrative Order 04/29/10
A-M Auto Buy & Loan 4 Titles Administrative Action 06/08/17
A-M Auto Sales & Lease, Inc. Administrative Action 06/08/17
A-Phi Mortgage Services, Inc. Administrative Action 05/12/09
Aaron, Timothy Desist & Refrain Order 01/24/13
Aaron, Carla Desist & Refrain Order 01/24/13
AAA All American Lending Services Administrative Action 05/01/09
AAA Ca$h 4 Checks Administrative Order 05/01/07
AAA Cash Advance Administrative Action 08/02/11
AAA Cash Stop Administrative Action 04/08/08
AAA Development, Inc. Administrative Action 04/05/18
AAA Development Team Administrative Action 04/05/18
AAA Express Funding, Inc. Administrative Action 04/05/18
AAA Financial Services, and AAA Financial Services, Inc. Desist & Refrain Order 04/16/03
AAA Mortgage Team Administrative Action 04/05/18
AAA Realty & Mortgage Team Administrative Action 04/05/18
AAA Worldwide Financial, DBA Worldwide Mortgage Co. Administrative Action 05/01/09
AAFMAA Mortgage Services LLC Administrative Action
See also CFL Licensee Listing #’s 60DBO-97872 and 60DBO-101673		 04/03/20
AALM Consulting Services, Ltd. Desist & Refrain Order 09/17/12
AAT Capital Administrative Action
See also CFL Licensee Listing # 60DBO-45681		 10/16/20
Aames Capital Corporation Administration Order 04/19/07
Aames Funding Corporation Administrative Action 12/14/06
Aames Home Loan Administrative Action 12/14/06
Aames Investment Corporation Administrative Action 12/14/06
Aapex Financial Solutions, LLC Administrative Order 10/12/10
Aapex Discount Mortgage Administrative Order 07/26/07
Apex Lending Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-71872		 04/03/20
Aaron Financial Services  Administrative Order 01/26/11
Aasent Mortgage Corporation Administrative Order 12/15/10
Aaxios Financial, Inc. Administrative Order 05/01/09
AB Capital Fund A, LLC Administrative Action
See also CFL # 60DBO-103847		 12/30/22
AB Capital Fund B, LLC Administrative Action
See also CFL # 60DBO-69426		 12/30/22
AB Capital, LLC Administrative Action
See also CFL # 60DBO-69427		 12/30/22
AB Commercial Real Estate Debt Fund III SICAV-SIF S.C. SP. L.P.
 Administrative Action
See also CFL # 60DBO-94838 		05/03/23
AB Commercial Real Estate Debt Fund IV SICAV-SIF S.C. SP.
 Consent Order 01/12/24
AB Commercial Real Estate Private Debt Fund, LLC Administrative Action
See also CFL # 60DBO-155150		 12/18/23
All Blue Labs, Inc. Administrative Action
See also CFL # 60DBO-152415 		05/03/23
Alvva Financial, Inc Administrative Action
See also CFL # 60DBO-145490 		05/03/23
Abad, Paul aka Abad, Paul Vivera Desist & Refrain Order 12/10/08
Abadir, Samir Nashed Administrative Action 04/05/18
Abalone Cove Advisors Administrative Action
See also Investment Adviser Firm Summary – CRD Licensee Listing # 137009		 01/21/21
ABBA Resources Unlimited Desist & Refrain Order 10/22/04
Abbasi, Reza Administrative Action
See also NMLS Licensee Listing # 1500990		 05/12/22
Abbie Escrow Administrative Action 12/01/08
Abbo, Lydia Princilla Administrative Action 03/18/11
Abbott, Christopher Gordon   Administrative Action 01/27/21
ABC, LLC Civil Action 02/01/05
ABS Manager, LLC Administrative Action 05/16/17
Abernathy, Ronald aka, Abernathy, Robert Desist & Refrain Order 05/17/10
Abi, Rami H. Administrative Action
See also NMLS # 1326351		 12/20/21
ABKO 247, Inc. dba Cash Plus #208 Administrative Action
See also FSD Licensee Listing #100-4121 		01/19/12
Able 2″ Help Services Administrative Action 12/04/07
Abode Investments, Inc. Administrative Action
See also Office of Administrative Law Decision – OAR No: L2008040381 		03/16/07
Abra Administrative Action 04/28/23
Abundance Entertainment, LLC Desist & Refrain Order 09/15/17
Abundance Financial Planning Administrative Action
See also Investment Adviser Firm Summary – CRD # 157730		 01/21/21
ABS-CBN Global Remittance, Inc. Consent Order 08/11/15
ABS Holdings, Inc. Desist & Refrain Order 12/10/08
Absolute Escrow, Inc. Administrative Action 02/15/07
ABW Property Partners #9 LP., ABW Property Investments, Inc., and ABW Tax and Consulting, Inc. Desist & Refrain Order 08/23/11
AC Autopay LLC Administrative Action 11/07/19
AC3 Capital, LLC; Avelino Cortina, III (Cortina) Administrative Action 03/04/19
Acacia Capital Group LLC Administrative Action 12/30/19
Academic Escrow, Inc. Administrative Action 12/29/09
Academy Home Services; Amstar Service Group; Atlantic Pacific Service Group; Apex Consulting & Associates Inc.; Ahiga, Dominic Administrative Action 09/12/22
ACI Worldwide Corp.; ACI Payments, Inc. Administrative Action 10/16/23
Academy Leadership Franchising, LLC. Administrative Action 05/31/16
Academy Mortgage Corporation Administrative Action
See also Licensee Listing FSD #417-0013		 08/06/15
Acaro, Roger C Desist & Refrain Order 08/17/07
ACC Capital Holdings Corporation Civil Action 03/21/06
ACC Funding, LLC Administrative Order 05/01/09
Accelerated Assets, LLC Administrative Action 06/11/20
Accelerated Funding Group Desist & Refrain Order 05/14/08
Acceptance Capital Mortgage Corporation Administrative Action
See also Licensee Listing FSD #’s 413-0552 and 603K845		 02/15/07
Access Administrative Action 08/03/11
Access America Administrative Action 02/11/04
Access America, Inc. Administrative Action 02/11/04
Access Commercial Funding, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-74286		 04/03/20
Access Financial LLC Administrative Action 12/30/19
Access Mortgage L.L.C. Administrative Order 05/12/10
Access Point Financial, Inc. Administrative Action 06/29/18
Accion East, Inc. Administrative Action
See also CFL Licensee Listing #’s 603K530 and 603K143		 04/03/20
Accommodation By Reservation, Inc. Administrative Action 03/30/98
Accounting Services, Inc. Desist & Refrain Order 08/06/14
Accredited Home Lenders Administrative Action 09/03/09
Acculoanz, LLC Administrative Action
See also CFL # ‘s 60DBO-35867; 60DBO-45229		 04/16/21
Accutrac Capital California, Inc.
 Administrative Action
See also CFL # 60DBO-89703		 01/06/23
Ace America’s Cash Express Administrative Action 08/30/10
Ace Cash Express Administrative Action 10/02/07
ACE Cash Express, Inc. Desist & Refrain Order and Settlement Agreement
See also FSD Licensee Listing #100-0207		 04/05/10
Ace Escrow Inc. Administrative Action 03/07/11
Ace Loans Direct Administrative Action 05/01/19
Ace Mortgage Funding Administrative Action 05/01/09
Ace Payday Advance & Check Cashing Desist & Refrain Order 05/13/08
ACEH Capital, LLC aka Ace Capital Group Administrative Action 04/16/20
AcEscrow Desist & Refrain Order 12/31/04
Acevedo, Dawn Administrative Action, See Also Park Escrow Services 04/16/12
ACG Equipment Finance LLC Administrative Action 04/03/19
Ackerman, Bret Michael Administrative Action 05/17/18
Acoustic Home Loans, LLC Administrative Action 11/01/06
ACR Desist & Refrain Order 06/30/08
Active Capital Partners, LLC Desist & Refrain Order 04/17/08
Active Mortgage Corp Administrative Action
See also FSD Licensee Listing #6032087		 06/18/18
Active Statewide Funding, Inc. Desist & Refrain Order 12/12/11
Activehours, Inc. Administrative Action 01/04/21
Acu-Shield Financial, Inc. Desist & Refrain Order 12/23/08
Acuity Desist & Refrain Order 05/28/04
Acuity Financial, Acuity Financial Corp, Acuity Financial Corporation Desist & Refrain Order 05/28/04
Acuna, Peter Adrian Desist & Refrain Order 03/20/02
Adam, Ed Administrative Action 05/04/17
Adam, Edward aka Adam, Edward F. Administrative Action 05/04/17
Adam, Edward Etuati Administrative Action 05/04/17
Adams Street Private Credit Direct Funding LLC Administrative Action; See also CFL #’s 60DBO-84564, 60DBO-85823 04/03/19
Adams, Joey Desist & Refrain Order, see also Applied Digital Technology 08/01/12
ADC Licensing aka ADC Licensing, Inc Desist & Refrain Order 06/30/11
Addison Brown LLC Desist & Refrain Order 03/11/08
Adedpipe, Anthony A. Administrative Order 03/18/11
ADEK Company; ADEK Consultants Group; ADEK Financial Services Desist & Refrain Order 01/19/10
AdelFi Credit Union Administrative Action 06/10/13
Adir Financial, LLC Administrative Action
See also CFL Lisensee listing # 603C721		 02/19/20
ADK Bancorp Inc. Administrative Action 04/03/19
Adkisson, Gary W. (Proaction Concepts) Desist & Refrain Order 10/08/10
Adkisson, Gary W. (Readiness Technology) Desist & Refrain Order 12/14/10
Adler, Peter Desist & Refrain Order 06/30/08
admin@harvest-keeper.app, aka Harvest Keeper Desist & Refrain Order 04/19/23
Admiral Home Mortgage, L.L.C. Administrative Action
See also CFL # 60DBO-62651		 09/27/18
Admiral Lending, LLC, DBA TheEquity Network.com Administrative Action 05/01/09
ADN, ADNS; ADNS, LLC; Desist & Refrain Order 06/30/08
ADNS Group; ADNSGroup National Legal Debt Centers ; Desist & Refrain Order 06/30/08
Adobe Escrow Corporation Administrative Action 07/29/13
Ads Unlimited, Inc. Citation and Desist & Refrain Order* 08/14/06
Advance America Administrative Action
See also FSD Licensee Listing #’s 603J244 and 1001204 		02/23/09
Advance Auto Finance LLC Administrative Action 06/15/11
Advance California Administrative Action
See also Office of Administrative Law Decision –  OAH No. L2006040103 		03/09/06
Advance Capital Resources, LLC. Administrative Action
See also FSD Licensee Listing # 6037218, 603F025 and 603I943 		05/10/18
Advance Cash Administrative Action
See also FSD Licensee Listing #1001746 and 1004199		 05/10/18
Advance Cash Express Administrative Action 08/30/10
Advance Check Cashing Amended Desist & Refrain Order 05/14/08
Advance Checks To Go Administrative Action – Revocation;
Order Setting Aside		 07/11/06
Advance Financing Inc. Administrative Action 11/26/12
Advance Funds Network LLC Administrative Action
See also CFL Licensee Listing # 60DBO-63355		 04/03/20
Advance Kash Consulting, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-182652		 05/15/24
Advance Mortgage Corporation Administrative Action
See also FSD Licensee Listing #4130689 		12/16/14
Advance Payday Administrative Action 02/11/08
Advance Restaurant Finance LLC

 Administrative Action 05/25/11
Advanced Active Care, Inc,;
Advance Active Health Care Group of Dallas		 Desist & Refrain Order 08/31/07
Advanced Biokinetics, Inc. Desist & Refrain Order 12/08/06
Advanced Business Funding, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-101089		 04/03/20
Advanced Business Services, LLC d/b/a Dollar Flash and DollarFlash and as ZippyDollar Desist & Refrain Order 11/18/14
Advanced Capital Management Desist & Refrain Order;
See also Settlement Agreement.		 03/08/05
Advanced Capital Solutions International. LLC Desist & Refrain Order 08/26/10
Advanced Capital, Inc. Desist & Refrain Order 02/15/05
Advanced Defense Development Corporation Administrative Action
See also NMLS # 2497533		 04/15/24
Advanced Financial Concepts, Inc. Administrative Action 11/03/17
Advanced Financial Solutions Group, Inc Administrative Action 05/02/18
Advanced Funding Solutions, LTD. Administrative Action 03/18/11
Advanced Imaging, Inc.; Advanced Imaging-Fort Worth Limited Partnership Desist & Refrain Order 08/31/07
Advanced Innovations, Inc. Desist & Refrain Order 04/26/10
Advanced Mining Group Administrative Action 02/01/24
Advanced Planning Concepts, Inc. Desist & Refrain Order 04/22/15
Advanced Retirement Strategies Inc. Administrative Action
See also Investment Adviser Firm Summary – CRD # 133422		 02/18/20
Advanced Worldwide Security Solutions, Inc. Civil Action 05/07/07
Advanced-escrow-corp.com Desist & Refrain Order 05/04/04
Advani, Neil Administrative Order 11/07/06
Advantage Capital Lending Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-156058		 12/29/23
Advantage Capital West, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-96072		 04/03/20
Advantage Check Cashing Administrative Order 10/05/09
Advantage Escrow Services Desist & Refrain Order 12/29/11
Advantage Mortgage Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-99858		 04/03/20
Advantage Property Ventures Desist & Refrain Order 04/15/11
Advantix Lending, Inc. Administrative Order 05/01/09
Advent Group, Inc., Advent Group International Desist & Refrain Order 06/04/14
Adventus Capital Desist & Refrain Order 09/20/06
Advescrow.com Desist & Refrain Order 12/07/04
Advisory Services Group Desist & Refrain Order 03/03/06
Advocate Capital, Inc. Administrative Action
See also CFL Licensee Listing # 6038162		 04/03/20
Aegean Financial Administrative Action
See also CFL Licensee Listing # 603L347 		 04/03/20
Aegis Funding Corporation Administrative Action 08/08/07
Aegis Lending Corporation Administrative Action 08/08/07
Aegis Mortgage Corporation Administrative Action 08/08/07
Aegis Oil, LLC Administrative Action 07/13/21
Aegis Wholesale Corporation Administrative Action 08/08/07
AEI Environmental, Inc. Desist & Refrain Order 04/06/05
AEM Loan Corporation Administrative Action 04/03/19
Aetna Venture Capital, Inc. Desist & Refrain Order 07/20/05
AFC Desist & Refrain Order 05/28/04
AFC Holdings, LLC Administrative Action 11/03/17
Affiliated Funding Corporation

 Administrative Action 05/07/13
Affiliated Power Management, Inc. Desist & Refrain Order 09/13/06
Affiliated Solutions, LLC. Administrative Action 12/27/17
Affordable Escrow, Inc. Administrative Action
See Also FSD Licensee #963-2004		 09/15/14
Affordable Mortgage Lending Inc. Administrative Action
See Also CFL # 60DBO-1372244		 07/01/21
Affordable Title Loans, Inc. Administrative Action
See Also CFL Licensee Listing #’s 60DBO-51813 and 60DBO-95498		 04/03/20
AFLFX and AFLFX.com Desist & Refrain Order 07/26/10
Afloco Credit Union
 Administrative Action 10/18/22
AFH Holding and Advisory, LLC. Administrative Action
See also FSD Licensee Listing #603-J300		 10/12/16
AFI Financial Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-123161		 04/19/22
Afternic, Inc. Desist & Refrain Order 01/30/14
Afterpay US Inc. Administrative Action 03/16/20
Afzal, Yasin Ahmad Administrative Action
See also NMLS Licensee Listing # 1470760		 05/06/22
AG-Wise, Inc. Administrative Action 10/09/17
AG Metals Desist & Refrain Order 01/13/11
AGD Advisors Desist & Refrain Order 01/13/12
Agape Mortgages, Inc. Administrative Action
See also CFL Licensee Listing #’s 60DBO-134498, 60DBO-123726		 04/19/22
Age, Heather Administrative Action 05/23/17
Ageless Fitness Corp Administrative Action 11/02/21
Agency-escrow.com Desist & Refrain Order 05/13/05
Aghili, Behzad Desist & Refrain Order 04/16/03
Aghili, Marziyeh Desist & Refrain Order 04/16/03
Agilecap, LLC. Administrative Action 05/09/18
Agire Mortgage Corporation Administrative Action 04/05/10
Agricap Investment Fund, LLC Administrative Action
See also FSD Licensee Listing #603C756 		09/06/18
Agriholding, Inc. Administrative Action
See also CFL # 60DBO-88173		 04/03/19
Agro America; Austin, Kelli D. Administrative Action 11/06/15
Aguiar, Eddie Administrative Action
See also NMLS Licensee Listing # 1000546		 12/15/21
Aguilar, Gonzalez Magda Administrative Action 02/11/04
Aguilera, Orlin Administrative Action 03/01/21
Aguilar, Henry Administrative Action 02/11/04
Aguilar, J. Caesar Desist & Refrain Order 12/30/10
Aguirre, Carlos A Desist & Refrain Order 08/10/07
Aguirre, Manuel Desist & Refrain Order 08/10/07
Aguon. Vince Civil Action 03/23/10
AHA Desist & Refrain Order 03/28/16
AHA-Chamber of Commerce Desist & Refrain Order 03/28/16
Ahmed, Fuad Administrative Order 12/31/15
Ahmed, Sayed Taqueer Administrative Order 10/14/08
Ameritrust Home Mortgage Administrative Action
See also CRMLA Licensee Listing # 41DBO-60299		 10/31/23
American Interbanc Administrative Action 05/29/18
AIB Mortgage Administrative Action 05/29/18
AIF Opportunity Fund, LLC Administrative Action
See also FSD Licensee Listing #603C756 		09/06/18
Aintablian, Jack H. Desist & Refrain Order 11/25/02
Air Trac, Inc. Desist & Refrain Order 04/28/05
Airalle Administrative Action 08/03/17
Airserts Corporation Administrative Action 07/21/09
Aiyar, Pathy Desist & Refrain Order 01/4/06
AJ Acceptance Corporation Administrative Order 10/12/11
Akiba, Rooven Administrative Action
See also Office of Administrative Hearing Decision		 03/02/09
Akros Investments, Inc. Administrative Action 03/25/19
Akyil, Ahmer Devrim Desist & Refrain Order 03/01/11
Akyumen Technologies Corp. aka Akyumen Corp.; Saied, Aasim M.; Lin, Jane; Soelman, Sheila Administrative Action 05/14/20
Al Saad, Mutasem Accusation
See also FSD Licensee Listing # 963-2490		 10/21/14
Al-Timeey, Ali Administrative Action
See also NMLS Licensee Listing # 1901076		 05/12/20
AladdinBot Limited; www.aladdinbot.ai; www.aladdinbot.io
www.aladdinbot.net; Davis, Mark Ian; Skeels, Denise		 Administrative Action 08/20/24
Alameda Mortgage Corporation DBA JVM Lending, Melco Legacy Loans, Onward Mortgage, Pacific Bay Mortgage, and Truelend Administrative Action
See also FSD Licensee Listing # 4150084		 01/03/19
Alan Cordero Enterprises, Inc. Administrative Action 02/13/06
Alafyouni, Ahmad Motasem Administrative Action
See also NMLS Licensee Listing # 1522997		 12/05/17
Ahmari, Mike Reza Administrative Action
See also NMLS Licensee Listing # 1008035		 02/05/21
AHP Servicing LLC Administrative Action
See also CRMLA # 41DBO-103675		 10/30/23
Alapaq, George O Desist & Refrain Order 11/07/07
Alaris Development, LLC Desist & Refrain Order 05/11/09
Albrecht, Darren Lee Desist & Refrain Order; 09/18/02
Alcantar, Patricia Maria Administrative Action
See also NMLS Licensee Listing #1433232		 05/28/19
Alden Lee Company, Inc. Desist & Refrain Order 04/15/05
Alden Lee Venture Partners, LLC Desist & Refrain Order 04/15/05
Alder Heights, LLC; Alder Properties, TIC, LLC Desist & Refrain Order 02/03/10
Alder, Jeffrey Desist & Refrain Order 07/14/05
Aldrete, Rodrigo Administrative Action
See also NMLS Licensee Listing #1062796		 11/16/21
Alejandre, Maria Gomez Administrative Actions
See also FSD Licensee Listing #963-0288		 10/20/04
Alejandro Reyes Cruz Cease and Desist Order 04/16/19
Alejo, Elizabeth Administrative Actions
See also NMLS Licensee Listing #502295		 05/08/18
Alencar, Jr., Antonio Iderval Administrative Actions
See also NMLS Licensee Listing #484714		 09/09/18
Alexis And Palmer Financial Advisors LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 130518		 01/21/21
Alex Castellon and Associates, Inc. Administrative Action 05/12/10
Alexander Capital Markets, LLC, Alexander Financial LLC. dba Alexander Capital Advisors Desist & Refrain Order 06/30/11
Alexander, Anthony & Brown, Inc. Desist & Refrain Order 12/08/10
Alexander, Damien Payman Administrative Action
See also Office of Administrative Law Decision – OAH No. 2013050158		 04/02/13
Alexander, Michael Reynolds aka Alexander, Mike Desist & Refrain Order 12/18/06
Alfaro, Brian Keith Desist & Refrain Order 09/25/12
Alforque, Lulu Bardonado Administrative Action
See also NMLS Licensee Listing # 1633883		 09/02/20
Alfaro Oil & Gas, LLC Desist & Refrain Order 09/25/12
Alfredo Tovar II Administrative Action 12/30/19
Ali Amer aka @xGrimReaper Administrative Action 08/04/23
Ali, Shaheen Ifraaz Administrative Order 12/01/06
Alii Consulting Administrative Action 02/03/17
Alimur Park Home Owners Association, Inc. Administrative Action 02/18/20
Alipay US, Inc. Order of Exemption 01/28/20
Aliso Pacific Company Administrative Order 11/07/06
Alivio Holdings, Alivio Mortgage Administrative Action 05/29/08
All American Home Mortgage Administrative Order 04/12/13
All American Home Mortgage L.L.C. Administrative Action
See also CFL Licensee Listing # 603D891		 12/30/19
All American Lending, Inc. Administrative Action
See also FSD Licensee Listing #603E793		 05/08/19
All American Pet Company, Inc Desist & Refrain Order 11/14/14
All Cal Financial, Inc. Administrative Action;
See also CFL Licensee Listing # 60DBO-101243		 04/19/22
All Communities Escrow Services, Inc. Administrative Action;
See also Escrow Licence Listing 963-2160 		01/28/14
All County Capital Corp. Administrative Action
See also CFL Licensee Listing # 60DBO-90628		 04/03/20
All County Escrow Administrative Action 12/01/11
Alldirect Lending LLC Administrative Action
See also CFL Licensee Listing # 60DBO-107719		 04/16/21
All Escrow Services, Inc Administrative Action;
See also Office of Administrative Law Decision – OAH No. L2007100909 		10/09/08
All Financial Services, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-59592		 07/19/18
All Fund Mortgage Administrative Action 10/11/07
All Funded Financial (Hongkieu Han) Administrative Action 06/16/10
All In One Jimenez, Inc Administrative Action 12/28/07
All Mark Insurance Services, Inc. Administrative Action 11/26/18
All Star Realty & Investment, Inc.  Administrative Action
See also CFL # # 603I913		 10/26/11
All The Perks Coffee Ventures LLC Administrative Action 09/18/14
All Valley Holdings, LLC Desist & Refrain Order 09/07/07
All Weather Portfolio Management, Inc. Administrative Action
See also Office of Administrative Law Decision – OAH No. L2006040329; L2006040330		 03/15/06
All Western Mortgage, Inc. Administrative Action 05/12/10
All World Wide Products, Inc. Desist & Refrain Order 09/16/08
All-State Escrow, Inc. Desist & Refrain Order 06/08/05
All-state.net Desist & Refrain Order 06/08/05
Allen & Chazaro, Inc. Administrative Action 09/07/10
Allen & Chazaro, Inc. Administrative Action 08/16/10
Allen, Christopher; Golden Gate Escrow Services Administrative Action 02/07/20
Allen, Danelle C. Administrative Action 5/12/10
Allen, David Desist & Refrain Order 03/18/09
Allen, Jennifer Administrative Action 11/08/19
Allen, Josh Edwyn Desist & Refrain Order 12/22/09
Allen, Karen P. Desist & Refrain Order and Stipulation 03/14/11
Allensworth, Scott Administrative Action 09/18/17
Allerca, Inc. Desist & Refrain Order 11/02/06
Alleviant Health Centers, LLC Administrative Action 09/18/19
Allen Mortgage Administrative Action 08/11/08
Allen and Associates Administrative Action 06/05/23
Allegro California, LLC. Administrative Action 05/23/18
Alliance Acquisitions, Inc. Desist & Refrain Order 01/06/15
Alliance Financial Resources, LLC. Administrative Action
See also Licensee Listing FSD #413-0960
See also NMLS Licensee Listing #142084		 02/26/16
Alliance for African Assistance Administrative Action 04/16/19
Alliance Group Entertainment, Inc. Desist & Refrain Order 05/21/07
Alliance Laundry Systems LLC Administrative Action
See also CFL Licensee Listing # 603J999		 01/09/23
Alliance Mortgage Banking Corporation Administrative Order 09/20/07
Alliance West Mortgage, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-63775		 12/29/23
Allied Capital Management, Inc. Desist & Refrain Order 01/31/06
Allied Cash Advance of California, Allied Cash Advance Desist & Refrain Orders 05/22/08
Allied Elite Capital Desist & Refrain Order 11/22/11
Allied Energy Administrative Action 05/23/17
Allied Energy, Inc., doing business as Allied Energy Administrative Action 05/23/17
Allied Energy Group Administrative Action
See Also Office of Administrative Law Decision – OAH No. N2007120338		 11/30/07
Allied Esquire Group, Inc. DBA Esquire Capital Administrative Order 02/18/15
Allied Home Mortgage Capital Corporation Administrative Order 04/19/11
Allied Lending Group, Inc. Administrative Action 04/03/19
Allied Home Mortgage Corporation Administrative Action
See also FSD Licensee Listing #413-0593 		12/08/11
Allied Syndications, Inc. doing business as Allied Energy, Inc. Administrative Action 05/23/17
Allied Syndications, Inc. Administrative Action
See Also Office of Administrative Law Decision – OAH No. N2007120338 		11/30/07
Allpointe, LLC Administrative Action 03/18/11
AllQuest Home Mortgage Corporation Administrative Action 06/06/17
Allstar Growth Fund, LLC Administrative Action 09/21/10
Allstate Finance Company, LLC Administrative Action 12/27/17
Allup Finance LLC Administrative Action 11/12/20
Allworld-escrow.com Desist & Refrain Order 05/04/04
Ally Commercial Finance LLC Administrative Action 03/18/11
Alluo; Alluo Ltd. Administrative Action 06/05/24
Ally Financial National Mortgage Settlement, See also National Mortgage Settlement website for more information 02/09/11
Alpine Capital Management, LLC Administrative Action 04/25/19
Anato Advisory Services, LLC Administrative Action 05/17/18
Alpha Capital Partners, LLC Administrative Action
See also Office of Administrative Law Decision – OAH No. N2007120338		 07/18/11
Alpha Funding-001 LLC Administrative Action
See also CFL Licensee Listing # 60DBO-111821		 04/19/22
Alpha Global Investments dba Green Envy Ink, LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 154575		 09/08/22
Alpha International investments, Inc. Desist & Refrain Order 07/27/11
Alpine Lending, LLC Administrative Action 06/22/06
Alphaflow Advisor, LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 285210		 03/15/23
Alpine Mortgage Corp. Administrative Action 12/30/19
Alpine Pictures Civil Action (see also Dorothy of Oz) 04/15/11
Alpine Properties, LLC Desist & Refrain Order 07/03/06
Alpps LLC Administrative Action
See also CFL Licensee Listing # 60DBO-91130		 04/03/20
ALR Capital Group LLC Administrative Action 04/17/23
ALR Financial Services Inc Administrative Action 04/03/19
Alsaad, Mutasem Administrative Action
See also CFL Licensee Listing # 9632490		 05/04/23
Alston Ferris Capital Partners, LLC Desist & Refrain Order 08/30/11
Alta Capital Group, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-90936		 12/30/19
Alta Dena Express Administrative Action 07/19/05
Alta Mortgage Fund, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-78165		 04/16/21
Alta Vista Credit Union Order Terminating Final Order 12/27/16
Altamirano, Iris Administrative Action
See also  Escrow Licensee Listing # 96DBO-45896		 01/08/20
Alternate Business Capital Civil Action 02/01/05
Alternative Access Capital, LLC Administrative Action
See Also Investment Adviser Firm Summary – CRD # 129469		 01/27/22
Alternative Capital Management, LLC. Administrative Action 08/16/16
Alternative Escrow Administrative Action 02/17/11
Alternative Financing Group, Inc. Administrative Action 12/30/19
Alternativeescrow.com Desist & Refrain Order 05/25/05
Alterra Home Loans Administrative Action
See also FSD Licensee Listing FSD #:413-1101		 12/08/15
Altitude Entertainment Films, Inc. Administrative action
See also Office of Administrative Law Decision – OAH Case No. 2016030179 		08/27/16
Altman, Cynthia Ocariza Administrative Action 07/30/20
Altobell, Michael James Administrative Action 07/30/18
Altounian, Brian K. Desist & Refrain Order 01/06/15
Altus Healthcare, Inc. Administrative Action
See also Office of Administrative Law Decision – OAH No. L-2004120121 		10/28/04
Alvarez, Roberto Eduardo Administrative Action; See also NMLS Licensee Listing #325499 01/09/20
Always Approved, Inc. Administrative Action 02/13/06
AM Title Loans, Inc Administrative Action
See also FSD Licensee Listing # 603-L369		 10/18/16
Amacker, Donald Administrative Order 06/25/15
Amada Franchise, Inc. Administrative Action 06/21/16
Amado, Henry Anthony, Jr.; SBL Ventures, Inc. Desist & Refrain Order 01/07/22
Amanecer Sin Deudas, Inc. Desist & Refrain Order 05/18/04
Amato, T.J. Desist & Refrain Order and Stipulation to Desist and Refrain Order 10/26/10
Amaya, Veronica Administrative Action
See also Office of Administrative Law Decision – OAH Case No. 2010060388		 05/03/10
Amazon Capital Services, Inc. Administrative Action
See also FS Licensee Listing file # 603K056		 12/30/19
Amazon Home Loans, Inc. Administrative Action
See also CFL # 60DBO-145248		 12/29/23
Ambassador Financial Services, Inc. Administrative Action 09/12/06
Ambassador Investments, LLC Desist & Refrain Order 05/07/13
Ambergris Holdings LLC Administrative Action 07/18/18
Amber Mortgage Administrative Order 05/01/09
Amber, Zara Desist & Refrain Order;
see also Rescission Order (08/21/07)		 03/05/07
Amc Capital Bancorp, Inc.  Administrative Order 03/14/12
AMC Mortgage Services, Inc. Civil Action 03/21/06
AmCap Financial Services; AmCap Loans & Investments, Inc. Desist & Refrain Order 07/23/10
AmCap Mortgage, Ltd. Administrative Action
See also CRMLA # 41DBO-52629		 01/08/24
Amera Mortgage Corporation Administrative Action
See also FSD Licensee Listing #417-0020		 12/15/14
AmerAssist Corp., Administrative Action
See also Office of Administrative Law Decision – OAH No. 2014040633 		07/25/15
AmerAssist A/R Solutions, Inc. Administrative Action
See also NMLS # 995481		 04/15/24
AmerAssist Turnaround Management Corporation Administrative Action
See also Office of Administrative Law Decision – OAH No. 2014040633 		07/25/15
Ameri-Q Energy, Inc. Desist & Refrain Order 03/13/06
Ameribanc Corporation Administrative Action 04/20/07
American Ken, Inc. Administrative Action
See also CFL Licensee Listing # 603K041		 07/31/18
America One Properties Incorporated Administrative Action 06/05/17
AmericaHomekey, Inc – 4131075 Administrative Action
AmericaHomekey, Inc. – 603G545
AmericaHomekey, Inc. – 603G547
AmericaHomekey, Inc. – 603G548
AmericaHomekey, Inc. – 603G549		 Administrative Action 05/02/12
American 1st Continental Mortgage, Inc. 603A556
American 1st Continental Mortgage, Inc. 603G737
American 1st Continental Mortgage, Inc. 603H820
American 1st Continental Mortgage, Inc. 6054212
American 1st Continental Mortgage, Inc. 6054264
American 1st Continental Mortgage, Inc. 6073245		 Administrative Action 06/21/10
American Advisors Group Administrative Action
See Also CFL #603F234; CRMLA # 4131144		 06/06/19
American Affordable Homes, Inc. Administrative Action 03/18/11
American Asphalt Sealcoating Franchise Coating Desist & Refrain Order 04/26/05
American Asphalt Sealcoating, Co. Desist & Refrain Order 04/26/05
American Bank Leasing Corp Administrative Action 5/12/10
American Brokers Conduit Administrative Action 08/03/07
American Business Finance Administrative Order 10/24/12
American Business Fund (The) Administrative Order 11/21/11
American Capital Funding (Westlend Financing, Inc., DBA) Administrative Action 08/31/11
American Capital Strategies, LTD Administrative Action

also see Licensee Listing FSD #605-1881

 05/01/09
American Cash Advance Administrative Action 10/02/07
American Check Cashing Desist & Refrain Order 05/19/08
American Classic Escrow Corp Administrative Action
also see Licensee # 963-1926		 05/14/14
American Consumer Credit, LLC Desist & Refrain Order 10/29/09
American Credit Acceptance, LLC Administrative Action
See also CFL Licensee Listing # 603I228		 07/29/14
American Debt Arbitration Desist & Refrain Order 12/05/05
American Debt Counseling Association, Inc. Desist & Refrain Order 10/25/02
American Debt Counselors, Inc. Desist & Refrain Order 01/23/04
American Debt Negotiation, American Debt Negotiation & Settlement, LLC Desist & Refrain Order 06/30/08
American Discount Mortgage LLC Administrative Action
See also CFL Licensee Listing #’s 60DBO-90170 and 60DBO-90123		 04/03/20
American Dream Mortgage  Administrative Action 02/16/11
American Eagle Mortgage, Inc. Administrative Action 03/18/11
American Education Services (AES) Administrative Action
See also NMLS Licensee Listing # 1619466 		 04/01/20
American Energy Developments, Inc.. Desist & Refrain Order 03/25/08
American Energy Group Desist & Refrain Order 05/04/06
American Energy Group of California Desist & Refrain Order 05/04/06
American Equity, LLC; American Equity Direct, LLC; American Equity Real Estate Civil Action 01/10/13
American Equity Investment Life Insurance Company Administrative Action
See also Office of Administrative Law Decision – OAH No. N2004080527 		06/17/05
American Fair Credit Desist & Refrain Order 04/16/03
American Film Ventures, LLC Desist & Refrain Order 12/14/06
American Finance Lenders, LLC Administrative Action
See also CFL # 60DBO-89396		 12/30/22
American Finance Planners (Kenneth M. Wade, dba) Administrative Action 05/01/09
American Financial Center Administrative Order 12/09/08
American Financial Resources, Inc. Administrative Action 12/27/17
American Financial Services DBA Hollander Financial Holding, Inc. Administrative Action 11/21/11
American Financial Services Desist & Refrain Order 02/24/03
American Financing Corporation Administrative Action 03/18/11
American Freight Factors Administrative Action 12/27/17
American Frontier Financial Group Administrative Action
See also NMLS Licensee Listing # 253626 		 05/02/12
American Fund Control, Inc Administrative Order 11/01/11
American General Mortgage Corporation Administrative Order 12/29/09
American Global Holdings, Inc. Desist & Refrain Order 01/13/11
American Guaranty Mortgage, LLC Administrative Order 05/01/09
American Heritage Capital, LP Administrative Action
See also CFL Licensee Listing # 603C794 		 11/18/20
American Home Equity Corporation Administrative Order 06/03/08
American Home Loans Desist & Refrain Order 01/28/09
American Home Mortgage Corporation Administrative Action 08/03/07
American Home Mortgage Servicing Administrative Action 08/03/07
American Home Mtg Servicing Administrative Action 08/03/07
American Honda Finance Corporation Administrative Action 10/12/07
American Hope Financial Management Desist & Refrain Order 02/26/10
American Hyperbaric Oxygen Therapy Clinics, LP Desist & Refrain Order 12/07/06
American Integrity Mortgage Corp.  Administrative Action 12/08/10
American Interbanc Administrative Action 05/29/18
American Interbanc Mortgage, LLC. dba AIB Mortgage Administrative Action 05/29/18
American Intermutual Agency, Inc. Administrative Action
See also CFL # 60DBO-120009		 12/29/23
American Landmark Securities, Inc. Desist & Refrain Order 03/08/07
American Leasing, LLC Administrative Action 04/03/19
American Lending Corp. Administrative Order 05/01/09
American Lending Group Administrative Order 06/14/10
American Lending, Inc. Administrative Action
See also CFL Licensee Listing # 603H823		 05/11/20
American Liberty Escrow, Inc. Administrative Action
See also FSD Licensee Listing #963-2272		 10/27/09
American Loan Centers Administrative Action 07/09/09
American Manufactured and Mobile Home Loans Administrative Action 03/18/11
American Microloan, LLC Administrative Action
See also CFL # 603B862		 06/14/24
America Mortgage, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-87903		 04/03/20
American Mortgage and Loan Administrative Action
See also CFL Licensee Listing # 60DBO-91681 		 04/03/20
American Mortgage Source, Inc. Administrative Action 05/01/09
American Mortgage Specialists, Inc 6039549
American Mortgage Specialists, Inc 603G485
American Mortgage Specialists, Inc 6072848		 Administrative Action 05/26/10
American Mortgagebanc Administrative Order 11/05/08
American Nationwide Mortgage Company, Inc. – 603C190
American Nationwide Mortgage Company, Inc. – 603J003
American Nationwide Mortgage Company, Inc. – 603J229
American Nationwide Mortgage Company, Inc. – 6039771		 Administrative Order 03/07/12
American Nationwide Mortgage Company, Inc. Administrative Action
See also FSD Licensee Listing #4131181 		06/21/18
American Newsynergy Chongqing Corporation Desist & Refrain Order 09/30/09
American Pacific Financial  Administrative Order 10/12/10
American Realty Partners, LLC Administrative Action 11/09/20
American Secured Capital Corporation Desist & Refrain Order 07/11/07
American Secured Capital Fund, LLC Desist & Refrain Order 07/11/07
American Shaman Franchise System, Inc. Administrative Action 02/11/22
American Signature Escrow Administrative Order 01/29/09
American Tonga Global Diaspora PTOA Administrative Action 09/19/23
American Trading Desist & Refrain Order 05/09/03
American Wholesale Loans LLC Administrative Action 04/03/19
Americana Oil and Gas Corporation Desist & Refrain Order 03/13/06
Americans Helping America, Inc., d.b.a. AHA Desist & Refrain Order 03/28/16
America’s Factors, Inc. Administrative Action 10/10/18
America’s Mortgage Lender Administrative Action 12/06/07
Americas Best Home Loans LLC
 Administrative Action
See also CFL # 60DBO-149634 		 12/30/22
Americash Payday Loan Center Administrative Action 10/02/07
Ameridebt, Ameridebt, Inc. Desist & Refrain Order 10/25/02
AmeriFirst Financial Corporation Administrative Action 10/31/23
AmeriFirst Financial, Inc. Administrative Action
See also FSD Licensee Listing #413-0901		 03/12/15
Amerifund, Inc. Administrative Action 05/14/18
Amerifed Doc Prep LLC Administrative Action 08/09/21
Amerigroup Mortgage Corporation Administrative Order 12/06/07
Amerilink Escrow, Inc. Administrative Action
See also FSD Licensee Listing #9632676		 08/16/17
Ameriloan Civil Action 06/30/07
Ameriloan.com Desist & Refrain Order 08/22/06
Ameriprise Financial Services, Inc. Administrative Action 07/23/18
AmeriPro Funding, Inc. dba AmeriPro Home Loans, aka Hello Mortgage, Inc. Administrative Action
See also FSD listing #413-1241		 12/11/18
Ameriquest Mortgage Company Administrative Order 10/29/07
Ameriquest Mortgage Company; Ameriquest Mortgage Company, a Delaware corporation; ACC Capital Holdings Corporation, a Delaware corporation; Town and Country Credit Corporation, a Delaware corporation; and AMC Mortgage Services, Inc., formerly knows as Bedford Home Loans, a Delaware corporation Civil Action 03/21/06
Amerisave Mortgage Corporation Administrative Action
See also FSD listing #413-0574		 08/09/16
Amerisource Escrow, Inc. Administrative Action 05/03/10
Ameritech & Associates LLC Administrative Action
See also CFL # 60DBO-85763		 04/16/21
Amerivalue Desist & Refrain Order 05/30/13
Ameriwest Financial Administrative Action 10/09/08
AMH Capital, Inc. Administrative Order 06/13/12
Amherst and Associates Administrative Order 01/30/23
Amherst Funding Group, L.P. Administrative Action
See also CRMLA # 4130742		 05/30/23
Amicus Capital Services, LLC – 603G113
Amicus Capital Services, LLC – 603G331		 Administrative Order 10/12/10
Amin, Adeel Desist & Refrain Order 05/12/10
Amos, Scott Desist & Refrain Order 04/19/05
AmNet ESOP Corporation Administrative Action
See also CFL # ’s 60DBO-95968, 60DBO-117868, 60DBO-113420, 60DBO-108248, 60DBO-108137, 60DBO-102328, 60DBO-102954, 60DBO-108135, 60DBO-108136		 04/16/21
Ampro Mortgage Administrative Action 02/17/06
Ampudia, Liza Administrative Action 03/01/18
Amsden, Christopher Avery Administrative Action 12/30/19
Amstar Mortgage Corporation Administrative Action 10/15/07
Amtrust Mortgage Corporations Administrative Order 08/13/07
AMW Total Wealth Planning & Management, LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 289342		 01/30/20
AmWest Funding Corp. Administrative Order
See also FSD Licensee Listing #413-0382, 603-H996		 01/30/17
Anacapa Investment Co., LLC Administrative Action 12/27/17
Anaheim Cash Co. Administrative Action 03/27/17
Analytic Firepower LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 136848		 09/08/22
Anasazi Group LLC Desist & Refrain Order 08/13/12
Anchor Loans, LP. Administrative Action
See also FSD Licensee Listing #603K850		 04/24/17
Anderle, Carmen Valdavino Civil Action 01/10/13
Anderson, Alan K. Administrative Action 02/27/19
Anderson, Anthony Allen Administrative Action 10/31/23
Andersen, Edward T. Administrative Action 03/13/13
Anderson, Ben Alexander-Owens Administrative Action
See also NMLS # 320166		 03/12/18
Anderson, Cheryl Administrative Order 05/19/08
Anderson, Jon Patrick Desist & Refrain Order 01/28/08
Anderson, Matthew Administrative Action 12/18/17
Anderson, Paul W. Desist & Refrain Order;
See also Rescission of Desist & Refrain Order		 09/22/06
Anderson, R.C. Desist & Refrain Order 12/28/06
Anderson, Raymond Charles Desist & Refrain Order 12/28/06
Anderson, Walter Desist & Refrain Order, see also Applied Digital Technology 08/01/12
Anderson, William Desist & Refrain Order 12/05/05
Andres, Robert Joseph Desist & Refrain Order and Erratum 03/15/07
Andrew Law Firm aka Acs Incorporated Administrative Action 08/31/22
Angel Oak Bridge Lending Fund, LP Administrative Action
See also CFL # 60DBO-104159		 04/16/21
Angel Oak Home Loans LLC Administrative Action
See also CRMLA Licensee Listing # 4131205		 10/15/20
Angel Strategies, LLC Desist & Refrain Order 09/17/09
Auben, Jan Van Administrative Action 11/02/20
Angelo, Torre; Auctionstrader.net Desist & Refrain Order 06/17/04
Angelo, Torre Desist & Refrain Order;
See rescinding order for Catherine Thorpe.		 05/20/04
Angels Camp Cash Administrative Action 02/13/06
Angels Distribution, LLC Desist & Refrain Order 05/05/09
ANI Development, LLC Administrative Action 12/30/19
Animated Ark, LLC. Administrative Action 03/18/19
Animation Development Company, LLC, Animation Development Company Licensing Desist & Refrain Order 06/30/11
Anish, Anthony L. Desist & Refrain Order 12/01/10
ANJU Capital LLC Administrative Action
See also CFL Licensee Listing # 60DBO-88901		 04/16/21
Anjappar Chettinad LLC Administrative Action 08/08/24
Annaly Cre L LLC Administrative Action
See also CFL Licensee Listing #’s 60DBO-99472, 603L339		 04/19/22
Annex Drilling Fund, LLC Administrative Action 02/09/11
Annicharico, Trent Administrative Action
See also NMLS Licensee Listing # 290594		 01/02/22
Anschultz, Earl D. Administrative Action 06/16/04
Anschultz, Earl D. Civil Action 12/27/05
Antee, Jane Desist & Refrain Order 12/09/04
Antelope Valley Banking Service Desist & Refrain Order 01/31/05
Anterra Services, Inc. Desist & Refrain Order 11/09/11
Anthem Lending, Inc. Administrative Action 07/14/10
Anthem Wealth Partners, Inc. Administrative Action
See also Investment Adviser Firm Summary – CRD # 287963		 01/30/20
Anthony, R.J. Desist & Refrain Order 07/25/06
Anthony, Raul Jerald Desist & Refrain Order 07/25/06
Antonucci, Francis Anthony Administrative Action 11/23/03
Anyday’s Payday and Loan Desist & Refrain Order 06/02/05
AOERO Desist & Refrain Order 04/21/05
AP Wholberg Lending – 603F099
AP Wholberg Lending – 603G342		 Administrative Action 5/12/2010
APA Financial Services, LLP Desist & Refrain Order 05/13/08
Aparicio, Ben Civil Action 02/01/05
Apex Bancorp Administrative Action 5/12/2010
Apex Financial Group Administrative Order 07/26/07
Apodaca Investment Group, LLC Desist & Refrain Order 06/16/03
Apodaca Jerry C Desist & Refrain Order 06/16/03
Apollo Square Capital LLC Administrative Action
See also CFL Licensee Listing #’s 60DBO-101865, 60DBO-98360		 04/19/22
Apostles, Inc. Desist & Refrain Order and Stipulation 06/02/10
Appian Group DE, LLC Administrative Action 05/07/13
Appalachian Drilling Fund II, LLP Administrative Action and Desist and Refrain Order 02/09/11
Appelblatt, Gary M. Civil Action 02/10/00
Apexlend, LLC Administrative Action 11/20/19
Apple Escrow Administrative Action
See also Licensee Listing FSD #963-1201		 04/20/10
Apple-escrow.com Desist & Refrain Order 03/30/06
Applegarth-Yarbrough, Janet Administrative Action 10/25/07
Applied Capital Group, Inc. Administrative Action 09/16/13
Applied Data Communications, Inc. Desist & Refrain Order 12/31/04
Applied Digital Technologies, Inc. Administrative Action 03/26/08
Apply4Homes.Com Administrative Action 05/12/09
Approved Funding Corp. Administrative Action 02/24/11
Aqcess Technologies, Inc. Civil Action 10/02/02
Aqua Finance, Inc. Administrative Action
See Also FSD Licensee Listing #603-5421		 08/31/11
Aquarius Financial, Inc. Administrative Action
See Also CFL Licensee Listing #60DBO-43219		 12/30/22
Aquino, Hector Administrative Action 06/27/23
Arain & Beno, Inc. Administrative Action 03/18/11
Aramid Entertainment Fund Limited  Administrative Order 1/9/2013
Arauz, Alejandro Administrative Action
See Also NMLS # 721428		 12/20/2021
Arbinger Fund, LLC  Administrative Action 09/13/10
Arbotco Financial Corp Administrative Action 03/18/11
Arc Finance, Inc. Administrative Action
See also CFL Licensee Listing # 6038763		 04/03/20
ARC Lab Opportunities Fund I, L.P. Administrative Action 04/03/19
Arcaro, Roger C. Desist & Refrain Order 08/17/07
Arceo, Madonna E. Administrative Order 04/08/10
Archbell Capital, LLC Administrative Action 07/30/18
Architect Investments, Inc. Administrative Action
See also Investment Adviser Firm Summary – CRD # 298522		 01/30/20
ARCS Bank & Trust, Alejandro Reyes Cruz aka Alejandro Cruz Reyes Cease and Desist Order 04/16/19
Arcstone Financial Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-94841		 04/03/20
Area Check Cashing Centers, Inc. Administrative Action 10/02/07
Ares PCS Holdings, LLC Administrative Action
See also CFL Licensee Listing #  60DBO-62042		 06/07/21
Arete Capital Advisors, Inc. Administrative Action
See Also CRD # 162300		 01/21/22
Arete Investment Company, LLC. Administrative Action 05/23/18
Arena, Steven P. Civil Action 06/12/02
Arch Bay Mortgage, LLC. Administrative Action 03/04/14
Argomaniz, Manny Desist & Refrain Order 03/25/02
Argomaniz, Robert Desist & Refrain Order 03/25/02
Argosy Mortgage Corporation Administrative Action 05/12/09
Arguello, Eduardo Desist & Refrain Order 11/10/10
Argus Group Fund A LLC and Argus Group Fund B LLC Administrative Action
See also CFL # 60DBO-187350, 60DBO-187403		 05/20/24
Argyle IP Networks, LLC Desist & Refrain Order 12/11/06
Arivian Financial Group Administrative Action 03/14/11
Ariza, Damian Administrative Action
See also NMLS Licensee Listing # 344256		 04/11/22
Arizona Pacific Coast Mortgage Inc. Administrative Order 02/09/11
Arjay Financial Services Administrative Action 02/13/06
Ark Financial Advisors, LLC Administrative Action 12/2/21
Ark-La-Tex Financial Services, LLC Administrative Order
See also CFL Licensee Listing #’s 6037861, 603H341, 603J228, 603J897 and 6073247; CRMLA # 4130603		 06/29/17
Arko, Michael Francis Desist & Refrain Order 06/30/11
Arlington Capital Mortgage Corporation Administrative Order 09/02/08
Arlington Capital Mortgage Administrative Order 06/11/13
Armed Forces Wireless/Mobile Inc.; Smart, Errol Alexander Administrative Action 05/21/20
Armendariz, Brandon Administrative Action
See also NMLS Licensee Listing # 1742460		 01/02/22
Armor Escrow, Inc. Administrative Action
See also Escrow Licensee Listing #  96DBO-35661		 08/25/20
Armstrong, Betty Paula Administrative Action 12/27/17
Armstrong, William Desist & Refrain Order 01/31/06
Army 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
Arnett, Nathan Desist & Refrain Order 03/21/11
Arnold, Gary Desist & Refrain Order (ClearVision Media) 05/05/09
Arnold, Gary; Arnold, Gary Richard; Aronavitch, Gary; Aronovitch, Gary Arnold Desist & Refrain Order (First Take Productions) 05/24/12
Arnous, Anas Administrative Action
See also NMLS Licensee Listing # 333414		 01/02/22
Aron, Jef Desist & Refrain Order 01/05/06
Arredondo, Aaron, aka De Carlo, Roman Desist & Refrain Order 08/26/10
Arriaga, Oscar Rolando Portillo Administrative Action
See also Office of Administrative Law Decision – OAH No.2013020822		 03/13/13
Arrow One, LLC, and Sierra Financial, LLC, dba Sierra Financial, and Sierra Lending, and Tall Grass Finance, and Iggy Loans Administrative Action 05/14/20
Arrow Productions USA, Inc. Desist & Refrain Order 09/14/11
ArrowMark Licenses LLC Administrative Action
See also CFL # 60DBO-174061		 06/04/24
Arroyo Village Escrow Services, Inc. Administrative Action
See also Escrow License  # 9632033		 04/08/20
ARS Residential Escrow, Inc. Administrative Action 12/01/11
Arsenault, Craig Administrative Action
See also Investment Adviser Firm Summary CRD # 2805664		 05/24/21
Art Money U.S., Inc. Administrative Action 04/03/19
Arteaga, Stephanie Administrative Action
See also NMLS # 1629924		 04/11/22
Artec Global Media, Inc. Desist & Refrain Order 07/19/19
Artience Capital Management Administrative Action 10/14/13
Artis Ventures Management, L.P. Administrative Action 08/20/18
Arvin Financial Services Administrative Action 03/09/11
Arvizu, Yvonne Administrative Action
See also Office of Administrative Law Decision – OAH No. 2015020315		 12/22/14
As Seen on TV Publishing, Inc. Desist & Refrain Order and Stipulation 03/14/11
ASAP Desist & Refrain Order 07/27/07
Asbra, Jeremy John Administrative Action 11/03/17
Ascending Growth Properties LLC Desist & Refrain Order 07/05/11
Ascendum Solutions LLC Administrative Action
See also CFL Licensee Listing #’s 60DBO-74615 and 60DBO-75790 		 04/03/20
Ascension Capital Management Administrative Action
See also Investment Adviser Firm Summary – CRD # 138432		 01/30/20
Ascent IT LLC Administrative Action 03/29/19
ASG Recovers LLC aka ASG Recoveries LLC Administrative Action 07/21/22
Asgaard Media Civil Action 05/03/10
Ash, Paul Desist & Refrain Order 03/06/07
Ashen Senior Resources Desist & Refrain Order 06/22/05
Ashen, Michelle Ann Desist & Refrain Order 06/22/05
Asher Consulting Group, Ltd. Administrative Order 10/24/12
Asher, Lucas aka Asher, Luke Administrative Action 09/22/20
Asher, Lucas formerly known as Erb, Lucas Thomas Administrative Action 01/27/21
Ashford Mortgage Administrative Action 11/20/08
Ashford/Grapeland Joint Venture Desist & Refrain Order 02/15/06
Ashton Capital Management, Inc. ( Bridge Harbor) Civil Action 07/28/08
Ashton Capital Management, Inc. Administrative Action (see also Bridge Harbor Management, Inc aka Bridge Harbor Mortgage Services) 10/07/08
Asia Financial Services, Inc. Desist & Refrain Order 01/27/09
Asia Pacific Groups  Administrative Action 04/18/12
Asian Pacific Revolving Loan Fund Of Los Angeles Administrative Action 04/12/12
ASM Financial Funding Corporation Desist & Refrain Order 05/05/08
Asnani, Ghanshyam P.  Administrative Action
See also CFL License Listing # 6050046		 02/24/11
Asparro, Joseph J. Desist & Refrain Order 10/09/02
Aspen Express Escrow Administrative Action 11/02/07
Aspen Grove Holdings, LLC Desist & Refrain Order;
See also Luminous Wealth Management Desist & Refrain Order		 09/28/06
Aspen Holdings, LLC. Administrative Action
See also FSD Licensee Listing #’s 603F577, 603J202		 01/31/18
Assali, James T. Administrative Action 04/07/11
Assent Capital, Inc. Administrative Action 05/01/09
Assent Mortgage, LLC Administrative Action
See also CFL Licensee Listing #’s 603J748, 60DBO-45574, 60DBO-46237, 60DBO-75835 and 60DBO-81814 		 04/03/20
Asset Achievers Associates Civil Action 02/01/05
Asset Escrow Services, Inc. Administrative Action 11/14/06
Asset Financial Center Inc. Administrative Action 05/12/10
Asset Financial Center, Inc Administrative Action
See also FSD Licensee Listing # 6073170		 01/31/18
Asset Financial Group, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-119270		 12/30/22
Asset Intelligence, LLC Administrative Action 07/26/10
Asset Lenders Group, LLC Desist & Refrain Order 08/17/05
Asset Prosperity LLC Administrative Action 12/30/19
Asset Strategies and Management, Inc. Administrative Order 10/28/14
Associated Assets, Inc. Administrative Action
See Also CRD # 139525		 01/21/22
Association of Real Estate Owners (AOERO) Desist & Refrain Order 04/21/05
Assurance Capital, Inc. dba Trust Capital USA aka Zippfund.com Administrative Action
See also Office of Administrative Law Decision – OAH No. 2023020273		 11/01/22
Assurance Financial Group, L.L.C Administrative Action 03/28/19
Assurance Partners LLC Administrative Action 08/29/18
Assurity Capital, LLC Administrative Action 02/02/16
Assured Capital Funding Inc. Administrative Action 05/03/19
Assured Financial Services Desist & Refrain Order 12/27/10
Assurity Financial Services Administrative Order 04/29/10
Astahov, Dmitry Desist & Refrain Order 07/20/07
Astoria Capital Management, LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 281307		 01/30/20
At Home Capital Administrative Action 08/02/07
Atabakhsh, Yousef aka Atab, Joe Administrative Action 03/18/19
Ataya, Brigitte Administrative Action
See also NMLS Licensee Listing # 232157		 12/15/21
Athena Art Finance Corp. Administrative Action
See also FS Licensee Listing file # 60DBO-51316		 12/30/19
Athena Pay, Inc. Administrative Action 04/21/21
Atlantic Capital Corporation Civil Action 05/15/02
Atlantic Coast Mortgage Group Inc. Administrative Action 05/12/10
Atlantic Escrow Corporation Administrative Action
See also FSD Licensee Listing # 9631390		 07/16/19
Atlantic Home Loans, Inc. Administrative Action
See also CRMLA Licensee Listing #4131132 		09/14/20
Atlantic Home Mortgage LLC Administrative Action
See also CRMLA Licensee Listing # 41DBO-151141 		06/21/23
Atel Growth Capital Administrative Action
See also CFL # 6052302		 01/27/23
Atlantic Mortgage Associates, Inc. Administrative Action 07/31/11
Atlantic Pacific International Group, LLC Desist & Refrain Order 05/03/11
Atlantic Realty of America, Inc. Administrative Action 05/12/10
Atlantis Investment Group Desist & Refrain Order 07/24/08
Atlas Capital Management, LLC
 Administrative Action 10/20/22
Atlas Mortgage Funding Administrative Action 09/14/07
ATM Advance Corporation Desist & Refrain Order 08/06/07
ATNcare Franchising, LLC. dba Go Telecare Administrative Action 05/10/17
Atondo, Trisha Administrative Action
See also NMLS Licensee Listing # 723528		 04/18/22
ATTIBASSI Administrative Action 03/14/19
Atwood Consortium, LLC Administrative Action 01/03/23
Atwork Personnel Services Inc. Administrative Action 03/18/11
AU Lending Services LLC Administrative Action 04/03/19
Aubrey, Carol Dee Stipulation to Desist & Refrain Order and Desist and Refrain Order 10/29/09
Aubrey, Jerry Stipulation to Desist & Refrain Order and Desist and Refrain Order 10/29/09
Auction Addicts Administrative Action 05/02/18
Auction Attics Administrative Action 05/02/18
Auction Store Franchise Corp. Desist & Refrain Order 12/08/05
Auction-safe-escrow.com Desist & Refrain Order 05/24/04
AuctionAddicts.com aka Auction Addicts Administrative Action 05/02/18
AuctionStore.com, Inc. Desist & Refrain Order 12/08/05
Auctionstrader.net Desist & Refrain Order 06/17/04
August, Frank Administrative Action 09/21/21
August, Walter Desist & Refrain Order 09/07/06
Auk Capital, LLC Administrative Action 10/10/14
Aung, Yee Yee dba Cash n Ride Administrative Action 10/13/16
Aura Financial LLC Administrative Action
See also CFL # 6054766 		 04/16/21
Aurora Loan Services, Inc. Administrative Order 12/16/02
Austin Family Entertainment, Inc. Desist & Refrain Order 12/14/06
Austin Lemoine Capital Management Administrative Action 03/29/06
Austin Perry Financial Corporation Administrative Action 09/21/10
Austin, Amanda Cheryl Administrative Action
See also CRD # 135918		 01/17/24
Austin, Christopher Pardee Administrative Action
See also NMLS Licensee Listing #251456		 05/16/18
Austin, Steve Desist & Refrain Order 12/14/06
AuthenticSiq, Inc Desist & Refrain Order 08/13/07
Authotecq Systems, Inc. Civil Action 01/04/06
Auto First Financial, Inc. Administrative Action (see also, Auto Source Financial) 12/10/10
Auto Financial Services, Inc. Administrative Action
See also NMLS # 2277167		 04/15/24
Auto Source Financial; Autosource Financial, Inc. Administrative Action (see also, Auto First Financial, Inc.) 08/31/11
Auto-tripledeal.com Desist & Refrain Order 01/18/05
Automated Vending Technologies, Inc. Desist & Refrain Order 04/29/11
Automotive Business Solutions (ABS) Desist & Refrain Order 04/28/06
Automotive Funding Group Administrative Order 08/11/10
Automototrades.com Desist & Refrain Order 05/24/04
Avalon and Associates Desist & Refrain Order 08/16/06
Avalon Capital Advisors, LLC Administrative Action
See Also CRD # 306948		 01/21/22
Avalon Family Entertainment, Inc., Avalon Family Films, Inc., Avalon Productions II, LLC Desist & Refrain Order 05/09/08
Avanesov, Arthur Desist & Refrain Order 07/27/10
Avant Lending Group, Inc. Administrative Action 06/14/10
Avantis Financial Administrative Action 10/27/10
Avcorp Group (The) Administrative Action
See also Office of Administrative Law Decision – OAH No.  L2004090416 		12/03/03
Aven, Holly Lynn Desist & Refrain Order; Rescission Order – Aven only 06/15/06
Aventine Wealth Management LLC Administrative Action
See also CRD # 300712		 01/17/24
Aventis Healthcare International, Inc. Administrative Action 10/22/13
Avery Financial & Insurance Services, Inc. Desist & Refrain Order 11/01/05
Avery, Terry Edward Desist & Refrain Order 11/01/05
Avila Venture Partners, Inc. Administrative Action 05/12/10
Avila, Raul Administrative Action
See also Office of Administrative Law Decision – OAH No. ,L2004090416 		12/03/03
Avila, Shawn Administrative Action 06/11/20
Avis Financial Services Desist & Refrain Order 12/01/08
Avlis Partners LLC Administrative Action
See also CFL Licensee Listing # 60DBO-98922		 04/19/22
AVR Capital Investment Inc. Desist & Refrain Order 05/22/08
Avraham, Aryeh Administrative Action 10/22/19
AVT, Inc., AVT Vending, Inc. Desist & Refrain Order 04/29/11
Awaken Without Debt Desist & Refrain Order 05/18/04
Awaken Without Debt, Inc. Desist & Refrain Order 05/18/04
Aware Mortgage Processing LLC Administrative Action
See also CFL # 60DBO-178398		 03/26/24
Axe Capital Partners, LLC Administrative Action
See also CFL Licensee Listing  # 60DBO-83949 		 02/27/20
Axiom Mortgage Bankers Corporation Administrative Action 05/02/12
Axiom Processing Experts, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-102862		 04/03/20
Axonic Commercial Realty LLC Administrative Action 04/03/19
Axxiom Forex Advisors Administrative Action 05/11/16
Axis Business Capital, LLC Administrative Order 07/06/11
Axis Mortgage and Investments, L.L.C. Administrative Action 11/01/05
Aylar Group, LLC Desist & Refrain Order 08/27/07
Ayoubi, David Rafi Administrative Action 03/05/15
Ayuso, Francisco Desist & Refrain Order 08/27/07
AZ Auto Loan Exchange Administrative Order 06/06/12
AZ Home Loans, Inc. Administrative Action 10/23/13
Azon Bank PLC Administrative Action 04/08/21
Aztec Capital, LLC Administrative Order 08/29/13
Aztec Funding, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-87970		 04/03/20
Azul Financial LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 291306		 01/30/20
Azura Lending LLC Administrative Action
See also CFL License Listing # 60DBO-155711		 12/29/23