Actions, Order and Administrative Hearing Decisions: K

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Subject Order Issued Date Issued
K.M. & Associates LLC Desist & Refrain Order 05/28/14
K & W Check Cashing Desist & Refrain Order 06/02/05
K and K Associates Desist & Refrain Order 05/03/10
K-Designers Administrative Action 05/07/13
K.I.S. Financial Services, Inc Administrative Action 05/01/09
K. G. Batth Insurance Services, Inc. Administrative Action 04/03/19
K. Hovnanian American Mortgage, L.L.C. Administrative Action
See also licensee listing CRMLA #4130532		 11/15/19
K Platinum Associates, Inc. Desist & Refrain Order 06/01/07
K Platinum Group, Inc. Desist & Refrain Order 06/01/07
K Platinum International Associates Desist & Refrain Order 06/01/07
K, Mike Desist & Refrain Order 05/21/07
K2 Clean Energy Capital, LLC Administrative Action
See also CFL # 60DBO-103797		 01/26/23
K100 4REAL LTD d/b/a K-100; www.k-100.net; Pounds, Terrence L. Administrative Action 08/20/24
K2 Ventures, Inc. Administrative Action 08/10/20
Kaczmarski, Gregory Administrative Action
See also NMLS Licensee Listing # 1437691		 12/20/21
Kaah Express F.S. Inc. Administrative Action 08/10/22
Kabajouzian, Anto Desist & Refrain Order 12/08/10
Kaiku Money California, LLC Administrative Order 12/06/11
Kailey, Adrienne Administrative Order
See also NMLS Licensee Listing # 1872304 		 12/07/21
Kalaco Scientific, Inc. Desist & Refrain Order 09/28/10
Kalapuracan, Jose A. aka Kalapuracan, Joe Desist & Refrain Order 06/19/12
Kaltex Investments, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-56287		 12/29/23
Kalu Corporation Administrative Action 12/11/07
Kalwant, Sandhu S. (PDF) Desist & Refrain Order 04/16/03
Kalulu, Stephanie C Administrative Action 07/10/18
Kam, Chung Administrative Action 03/09/06
Kam Financial & Realty Inc., dba Kam Financial Mortgage, and Kam Financial Administrative Action 12/09/19
Kanar Enterprises Desist & Refrain Order 01/11/05
Kane, Pat Desist & Refrain Order 12/31/04
Kane, Walter Desist & Refrain Order 12/31/04
KAR Investments, LLC Administrative Action 08/31/20
Kar Globe Escrow Services Desist & Refrain Order 03/02/07
Karcagi, Joseph Desist & Refrain Order 07/03/07
Karcy, Darlene (PDF) Desist & Refrain Order 04/01/09
Karda, Carolyn M. Desist & Refrain Order 05/28/02
Kardos, Paul Desist & Refrain Order 04/14/04
Kardouni, Joanna Administrative Action
See also NMLS Licensee Listing # 727952		 12/17/21
Karglobe.com Desist & Refrain Order 03/02/07
Karis Brokerage, Inc. Desist & Refrain Order 04/15/09
Karfarski, Conradl Desist & Refrain Order 01/13/12
Karkeh, Mike Desist & Refrain Order 05/21/07
Karkehabadi, Mahmoud Desist & Refrain Order 05/21/07
Karkehabadi, Mike Desist & Refrain Order 05/21/07
Karlis, Craig Anthony Desist & Refrain Order 03/01/11
Karpaty & Gemignani, LLC Administrative Action 09/19/22
Kase Engineering and Financial Services Inc. Administrative Action 05/02/07
Kashton Bank Administrative Action 11/12/21
Kastlepoint Mortgage, Inc. Administrative Action *04/03/06
Kats, Leo Desist & Refrain Order 06/24/15
Katsnelson, Yakov Desist & Refrain Order 09/28/10
Kattan, Leron Administrative Action
See also CFL Licensee Listing  # 603J272		 04/16/21
Katzka, Danny M. Desist & Refrain Order 08/04/14
Kaufman, David Desist & Refrain Order 11/10/10
Kaufman, Neil (Alpine Pictures) Civil Action 04/15/11
Kaufman, Neil Administrative Action (see also Family Film Fund, LLC) 11/23/09
Kaup, David Desist & Refrain Order 05/12/09
Kavoosi, Kourosh aka Kavoosi, Christopher Administrative Order
See also licensee listing NMLS #32381 		02/02/16
Kawaguchi, Toshiaki Desist & Refrain Order 06/14/06
Kay, Max aka Kayatzadeh, Mansouredin Administrative Action
See also NMLS # 2059834		 08/02/21
Kay, Steven Desist & Refrain Order 02/25/11
Kayatta, David Francis Civil Action 09/09/15
Kaybank Capital LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 299950		 01/30/20
Kaye Financial Corporation Administrative Action 05/15/18
Kaye, David. Desist & Refrain Order 03/28/07
Kaye, Jeff Desist & Refrain Order 08/3011
Kazi, Hakim Desist & Refrain Order 07/20/07
KB Escrow Services, Inc Administrative Order 09/17/18
KC Investments Administrative Order 11/25/07
KDO Capital; KDO Management Corp. Administrative Action 11/16/11
Keada Capital Investment Fund I, LLC Administrative Order 12/27/11
Kendall Home Finance LLC Administrative Action
See also CFL Licensee Listing # 60DBO-147169		 12/30/22
Kendall, Paul Administrative Orders 11/01/22
Kenealy, Michael Administrative Action 12/01/14
Kenica LLC Administrative Action
See also CFL Licensee Listing # 60DBO-83966		 04/03/20
Keate, Melanie Desist & Refrain Order 10/11/11
Keate, Scott Desist & Refrain Order 10/11/11
Keating II, Dennis Lee Desist & Refrain Order 05/05/10
Keast, Chawee Administrative Action 11/30/07
Keb La Financial Corp. Administrative Order 03/07/12
Keegan, Kenneth W. Administrative Action
See also Office of Administrative Law Decision – OAH No. N2006020680 		01/19/06
Kennsei Trading, Inc. Administrative Action
See also Investment Adviser Firm Summary CRD # 170291,  CRD # 6289799		 08/10/23
Keller Mortgage, LLC Administrative Action
See also licensee listing FSD # 4131187		 04/03/19
Keller, Bryan Administrative Action
See also NMLS licensee listing # 1646875		 12/02/21
Keller, Laura A. Desist & Refrain Order 06/23/11
Kellum, Linda C. Administrative Action 10/07/08
Kelly Mortgage Center, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-91587		 04/03/20
Kelly, Bob Desist & Refrain Order 12/19/08
Kelly, Dwight Administrative Action 09/25/06
Kelly, Jane Desist & Refrain Order 12/9/04
Kelly, Paul Lance aka, Kelly, Lance Desist & Refrain Order 12/08/10
Kelly, Richard Desist & Refrain Order 07/07/03
Kelly, Sean Administrative Action 05/15/23
Kelly, Stephen P. Administrative Action 08/23/16
Kelly, Susan Administrative Action 09/25/06
Kelly, Thomas J. (PDF) Desist & Refrain Order 01/05/10
Kelly, Tom (PDF) Desist & Refrain Order 03/24/05
Kelly, Tom Civil Action 03/24/05
Kempf, Charles Perlitz Administrative Action 03/02/17
Kemplen, Donald T. III Civil Action 03/24/05
Kensington Financial Associates, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-79208		 04/03/19
Kensington Resources, Inc. Administrative Action 10/10/16
Kent, Laura Jean Administrative Action
See also Office of Administrative Law Decision		 11/29/12
Kentucky Limited Partnership Administrative Order 10/24/07
Kentucky Mountain View Petroleum Company Desist & Refrain Order 11/07/07
Kephart, Christopher Holmes Administrative Action 05/19/10
Kepler & Stone Law Group Administrative Action 10/11/22
Kessee, Rachel G. Administrative Action 09/11/18
Kessel, Roy Desist & Refrain Order 05/17/10
Keswick Financial Group, Inc. Administrative Action
See also CFL Licensee Listing # 603C543		 03/10/23
Kettner Capital LLC Administrative Action
See also CFL Licensee Listing # 60DBO-98215		 12/30/19
Kerman Cash Administrative Action 05/05/06
Kerr, Joseph Desist & Refrain Order 08/22/14
Kerwin Beley & Associates Inc. Administrative Action 04/24/19
Key Bridge Capital, Inc. Administrative Action 04/03/19
Key Bridge Fund, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-109562		 11/18/22
Key Capital Solution, Inc.  Administrative Action 08/04/10
Key Place LLC Desist & Refrain Order 12/26/06
Key West Investments, LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 149418		 01/30/20
Keystone Escrow Administrative Order 06/05/09
KFisher Consulting Group Desist & Refrain Order 10/12/15
KFP Capital, LLC Administrative Order 10/10/12
KH Financial, LP Administrative Order 03/07/08
KHF Lending, LLC Administrative Action 07/06/16
Khan, Mudassir Muhammad Administrative Action 12/18/17
Khanna, Inc. (RMCFinancial.com) Administrative Action 05/01/09
khanna, Mohit A Civil Action 08/17/09
Khattat, Masen Desist & Refrain Order 06/02/05
Khavandi, Ehssan Administrative Action
See also CFL # 60DBO-49921		 12/29/23
Kheng-Loc, Susan Desist & Refrain Order 08/30/06
Khouri, Fadi aka Khouri Fredv Desist & Refrain Order (Green House) 05/03/10
Khouri, Fadi Administrative Action (Money Palace) 07/09/07
Khouri, Maha Desist & Refrain Order (Green House) 05/03/10
Khoury, Natalie Desist & Refrain Order 10/16/14
Khurana Holdings Corporation Administrative Order 12/16/08
Kickhouse Fitness, LLC Administrative Action 05/24/21
Kiemm, Andrew Kenneth Administrative Action
See also NMLS # 345157		 05/21/20
Kilgore, Randall Morgan Desist & Refrain Order 05/28/04
Killer Industries, Inc. Desist & Refrain Order 05/28/08
Killion Enterprises, Incorporated Administrative Action 05/01/09
Kilpatrick & Hart, Ltd Desist & Refrain Order;
See also Remington Financial Group		 05/18/03
Kim, Do Kyun Administrative Action 05/12/16
Kim, Taek Min “David” Desist & Refrain Order 04/22/16
Kim, Wayne Administrative Action
See also NMLS Licensee Listing # 16751		 1/24/22
Kirkorian, John Administrative Action 04/10/23
Kirkpatrick, Leah, M. Administrative Action 12/06/07
Kilroy, Michael J. Administrative Action
See also Office of Administrative Law Decision OAH No. L2007040489 		07/09/10
Kim, Chang Soo (PDF) Desist & Refrain Order 09/04/02
Kim, David D. Desist & Refrain Order 09/19/12
Kim, Jhon S. (PDF) Desist & Refrain Order 09/04/02
Kim, Jin Sung Desist & Refrain Order 07/21/09
Kim, Jin Yong Administrative Action 12/14/15
Kim, John S. (PDF) Desist & Refrain Order 09/04/02
Kim, Jong Hag Desist & Refrain Order 09/13/06
Kim, Jong Ki Desist & Refrain Order 09/13/06
Kim, Julia Eugene Administrative Action 12/14/15
Kim, Kuhong Administrative Action 02/22/21
Kim, Kwang Tae Administrative Action
See also Office of Administrative Law Decisions OAH No. 12004040768 ; OAH No. 12004040770; OAH No. 12004040772 		04/21/04
Kim, Nancy Administrative Action 01/20/16
Kim, Sangyun Desist & Refrain Order;
see also Dolarian,et al. Desist & Refrain Order		 04/26/07
Kim, Sangbum aka Kim, Sam; Black Hill Capital Partners Inc. Administrative Action
See also CRD # 118291 and CRD # 2122275 		 09/28/21
Kim, Sharon Administrative Action
see also CFL Licensee Listing # 60DBO-79856		 03/27/20
Kimball, John Desist & Refrain Order 05/03/06
KingCapital Funding Administrative Order 11/21/11
KingCapSports LLC Administrative Order 11/30/22
Kind Home Loans, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-101197		 04/16/21
Kindred Mortgage Group, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-141012		 12/30/22
King Cash Advance Desist & Refrain Order 05/13/08
King Family Lending LLC Administrative Action
See also CFL Licensee Listing # 60DBO-111951		 04/19/22
King Kong Organics Administrative Action 08/24/22
King Royalty Corporation Desist & Refrain Order 09/14/07
King Virginia Himmelsteib dba V.H. King Associates Administrative Action
See also Investment Adviser Firm Summary – CRD # 105705		 11/30/21
King, Brandon Administrative Action 03/01/21
King, Richard Desist & Refrain Order 03/02/07
King, Richard E. Jr. Desist & Refrain Order 08/07/06
King, Ted Desist & Refrain Order 06/11/03
Kings Cash Group, LLC
 Administrative Action
See also CFL Licensee Listing # 60DBO-80433		 04/16/21
Kingsfield, Brian Desist & Refrain Order 06/07/10
Kintner, Darien Administrative Action 11/05/14
Kirkland, Patrick B. Desist & Refrain Order; Civil Action 11/19/04
Kiro Company (The) Administrative Action 03/18/11
Kish, William Desist & Refrain Order 12/15/06
Kiso Capital, LP Administrative Action
See also CFL Licensee listing # 60DBO-72346		 12/23/22
Kiso Capital Management I, LLC Administrative Action 04/12/24
Kitchell, Jonathan Administrative Action 12/13/06
Kitchell, Laura Administrative Action 12/13/06
Kitchen Wise, LLC; 360 Painting, LLC; Pro-Lift Doors Franchise, LLC; Maid Right, LLC; Handyman Pro, LLC; Renew Crew, LLC; Rubbish Works, LLC; and Flick, Paul Administrative Action 11/19/21
Kitchens, Todd Desist & Refrain Order 01/25/08
Kittler, Dennis, R. Desist & Refrain Order 12/02/14
Kittler, Lisa A. Desist & Refrain Order 12/02/14
Kittler, Sharon Norsch Desist & Refrain Order 12/02/14
KKR-NYC Credit A California Levered L.P. Administrative Action 12/30/19
KKR-NYC Credit A California Unlevered L.P. Administrative Action 12/30/19
KKR-UWF California levered L.P Administrative Action 12/30/19
KKR-UWF California Unlevered L.P. Administrative Action 12/30/19
KKR-Violet California L.P. Administrative Action 12/30/19
Klarna Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-44020		 06/03/20
Klayman, Robert Desist & Refrain Order 04/15/11
Klick, Douglas H. Desist & Refrain Order 12/24/02
Kline, Kevin Desist & Refrain Order 11/10/10
Kline, Sally Desist & Refrain Order 04/28/06
Klose, Kennethy aka Klose, Ken. Desist & Refrain Order 03/21/11
KLP III California Levered Ltd. Administrative Action 12/30/19
KLP III California Unlevered Ltd. Administrative Action 12/30/19
KMD Partners, LLC Administrative Action
See also CFL Licensee Listing # 10DBO-89178		 07/18/23
Kneifel, Joshua Administrative Action 04/13/18
Knight, David Administrative Action
See also Investment Adviser Firm Summary – CRD # 153419		 01/30/20
Knightsbridge Ventures Ltd Co Administrative Action
See also Investment Adviser Firm Summary – CRD # 290448		 09/08/22
Knittel, Michael Murray Administrative Action 01/19/23
KNK Capital Management, LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 156321		 01/21/21
Knox Drilling Fund, LLP Administrative Action 02/09/11
Knobloch, Alan T. Administrative Action 05/04/23
Knox Drilling Fund II, LLP Administrative Action 02/09/11
Kobay Financial Corp. Administrative Action
See also Office of Administrative Law Decision OAH No. L2005040040 		03/08/05
Kodak Law, LLP Administrative Action
See also NMLS # 2245871		 04/15/24
Koetting, Daniel Desist & Refrain Order 05/08/06
Koetting, Mark J. Desist & Refrain Order 05/08/06
Koffler Investor Group (The) Desist & Refrain Order 01/31/12
Koffler, Steven C. Desist & Refrain Order 01/31/12
Kohn, Adolf Desist & Refrain Order 06/05/07
Kohn, Scott A. Desist & Refrain Order 03/03/15
Kolb, Jaeden Administrative Action
See also NMLS Licensee Listing # 1207710		 12/16/21
Kolker, Len (PDF) Desist & Refrain Order 12/08/08
Kondaur Capital Corporation. Administrative Order
See also Licensee Listing FSD #413-0930 		09/15/15
Konzelman, Kelly R. Desist & Refrain Order 08/17/05
Kool-Pets, Inc. Desist & Refrain Order 12/16/14
Kordos, Richard S. Desist & Refrain Order 06/08/05
Kordos, Richard S. Desist & Refrain Order 03/18/02
Korneevets, Olena AKA Korneevets, Lola Administrative Action 06/22/16
Kosich, Walter Randy Administrative Action
See also NMLS licensee listing # 248655		 12/15/21
Kostakis, Nikolaos Iraklis Administrative Action 05/28/19
Kostomaj, Marjan. (PDF) Desist & Refrain Order 09/28/09
Kotlar, Erminio Desist & Refrain Order 12/29/03
Kracksmith, Inc. Administrative Active
See also FSD licensee listing #603-B449		 12/13/11
Kramer (Cameron-Kramer), Chris Desist & Refrain Order 12/24/02
Kramer, Fritz Amended Desist & Refrain Order 09/09/16
Kramer, Stanley Desist & Refrain Order 12/24/02
Krauss, Brian Administrative Action
See also NMLS licensee listing # 882983		 01/02/22
Krauss, Jason Administrative Action
See also NMLS licensee listing # 1613060		 12/24/21
Krauth, Charles Administrative Action 03/29/16
Krech, Jack J Desist & Refrain Order
See also FSD listing #603-2051		 04/16/15
Krechko, Tibor Desist & Refrain Order 05/06/02
Kreidenweis. Harry Administrative Action 05/12/10
Krejci, Todd Joseph Administrative Action
See also NMLS licensee listing # 1374025		 01/02/18
Krieger, Robert Matthew Joint Stipulation 01/22/24
Krkabob Incorporated Administrative Action
See also FSD listing #6054648		 10/10/18
Krochman, John A. Administrative Action
See also NMLS #278683		 12/20/21
Krupela, Paul Alexander Administrative Action 12/01/10
KSA Financial Services Administrative Action
See also Investment Adviser Firm Summary CRD # 117091		 01/21/21
KSADATA II, Inc Desist & Refrain Order 04/15/05
KSADATA III, Inc Desist & Refrain Order 04/15/05
KSADATA IV, Inc Desist & Refrain Order 04/15/05
KSADATA, Inc Desist & Refrain Order 04/15/05
Kulman, Inc Administrative Action 12/08/08
Kumar, Akshay Desist & Refrain Order 02/02/07
Kumar, Sanjeev Administrative Action 09/15/22
Kuber Capital Management, LLC Administrative Action 11/23/21
Kuivenhoven, Dirk Johannas  Administrative Action 5/12/10
Kuntz, Damon Leroy Administrative Action
See also FSD Licensee Listing #963-0108		 06/24/14
Kunze, Markus Administrative Action 06/24/21
Kurland, Harry Administrative Action 12/28/07
Kurth, Thomas E. Desist & Refrain Order 05/13/09
Kurzet, Steven Desist & Refrain Order 11/08/07
Kutzner, Damian Robert Administrative Action 12/11/06
KV Mortgage LLC Administrative Action
See also CFL # 60DBO-177280		 06/13/24
Kvassay, Robert V. Administrative Action 05/14/18
Kwangyoecksi, Daegu Desist & Refrain Order 12/08/08
Kwick Funding LLC Administrative Action
See also CFL # 60DBO-178312		 12/29/23
Kwick Kerb Edgemaster, Inc. Desist & Refrain Order 12/16/05
Kwick Kerb USA, Inc. Desist & Refrain Order 12/16/05
Kwik Mortgage Corporation Administrative Action
FS #4131127		 01/10/18
Kwong, Lindy (PDF) Desist & Refrain Order 04/02/08
KWM Investments Desist & Refrain Order 07/13/07
Kyanite Services, Inc. Administrative Action
See also CRMLA Licensee Listing # 4130934		 03/03/20
Kyes, Kevin J. Desist & Refrain Order 12/24/02
Kyle Christian Corporation Administrative Action 05/01/09

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Last updated: Aug 22, 2024 @ 4:22 pm