Actions, Order and Administrative Hearing Decisions: R

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Subject Order Issued Date Issued
R and R Escrow Administrative Action 08/28/07
R & R Professionals, Inc. Administrative Action 06/16/09
R. Witt and Company, LLC Desist & Refrain Order 05/03/06
R.C. Financial Corporation Administrative Action 12/04/07
R.E. Loans, LLC Desist & Refrain Order 08/11/11
R.J. Fuchs Advisory Services Administrative Action
See also CRD # 140811
05/05/21
R.J. Humak and Associates, Inc. Desist & Refrain Order 07/03/07
R.L. Paler Investment Advisors, LLC Administrative Action
See Also CRD # 121814
01/21/22
R.P. Financial Services Incorporated; R.P. Financial Services, Incorporated Administrative Action 03/18/11
R8find.com, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-55706  
04/03/20
Raanan, John Administrative Action 05/01/09
Rabadan, Martha Hernandez Administrative Action 07/06/11
Rabbit Rabbit Co, Ltd.
Administrative Action 05/12/21
Rabbitt, Donald A. Desist & Refrain Order 12/30/02
Racusen, Robert Mark Administrative Action
See also CFL Licensee Listing # 60DBO-217948NMLS # 217948
10/20/20
Radiant Financial Group, LLC. Administrative Action 08/08/18
Radio Cash; radiocash.com; Radio Cash 500; radiocash500.com Desist & Refrain Order 09/16/09
Raft Master Fund II, LLC Administrative Action; See also CFL licensee listing # 60DBO-35925 04/03/19
Rahimi, Hossin Paul Desist & Refrain Order 08/03/07
Rainbow Funding and Realty LLC Administrative Action
See also CFL licensee listing # 60DBO-94744
04/03/20
Raine, David Desist & Refrain Order 04/12/03
Rairdon, Charles Desist & Refrain Order 10/02/12
Rairdoni, Charles Dennis Desist & Refrain Order 10/02/12
Raja Tredes Rei LLC Desist & Refrain Order 11/13/13
Rakeman, Michael Administrative Action
See also NMLS licensee listing # 40481
01/02/22
Ram Energy Incorporated Desist & Refrain Order; See also Consent Order 12/12/03
Rama Capital Partners, LLC Desist and Refrain Order; Administrative Order 10/22/13
Ramer, Henry Desist & Refrain Order; See also Consent Order 12/12/03
Ramirez, Alicia and Pena, Samantha Administrative Action
See also NMLS Licensee Listing #’s 1620881 and 25622
03/29/21
Ramirez, Colleen Desist & Refrain Order 04/29/08
Ramirez, Dan Desist & Refrain Order 06/18/09
Ramirez, Ory Administrative Action
See also NMLS licensee listing #485567
07/02/18
Ramirez, Rolando L.aka Esparza, Ronnie Lee Administrative Action
See also NMLS licensee listing # 1864073
07/14/20
Ramirez Reyna, Maria I Administrative Action 10/12/16
Ramos, Angelita Arpilleda Administrative Action 07/02/18
Ramos, Anthony  Administrative Order 10/12/10
Ramos, Susan Administrative Order 10/29/18
Rampart Portfolio Partners, LLC; Borneman, Jeffrey C. Administrative Action
See also Investment Adviser Firm Summary
– CRD # 284406
05/07/20
Ramses Investments, Inc. Administrative Order See also FSD licensee listing # 603J798 04/23/19
Rancho de Andallusia Vineyard & Winery, LLC Desist & Refrain Order , see also O’Keefe-Wedertz Enterprises, LLC 10/25/07
Randall, David A. Administrative Action 03/17/16
Randall, Laurence E. Desist & Refrain Order 04/22/04
Randall, Tazwell Administrative Action
See also NMLS Licensee Listing # 940660
12/17/21
Rando, John akd Rando Jon Desist & Refrain Order 06/25/08
Radnor Finance Company, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-44332
11/12/19
Rangel, Hector Desist & Refrain Order 11/13/13
Rapagna, Michael R. Desist & Refrain Order 01/09/09
Rapid Cash Desist & Refrain Order 02/28/06
RapidCash, Inc. Desist & Refrain Order 02/28/06
Rapital Capital Administrative Action 05/27/20
Raptor Consulting Desist & Refrain Order, see also Hance, Roger D. 11/29/11
Rasch, Anna Administrative Action 09/23/22
Ratajczak, Sandra Desist & Refrain Order 08/19/05
Rate One, Inc. The Mortgage People Summary Revocation Order 12/11/15
Rate & Term Financing, Inc. Administrative Action 05/01/09
Rate Plus, Inc. Administrative Action 08/24/18
RateGenius, Inc. Administrative Action See also FSD licensee listing #6037920 12/21/18
RateNet Civil Action 03/21/03
RateNet, LLC Civil Action 03/21/03
Rawle, Gerard Girard (Gerard Suite aka Gerard Sweet aka Raul Jerad Anthony aka R.J Anthony aka Rawle Gerard Suite aka Gerard S. Rawle) Civil Action 07/25/06
Ryan, Donald; Shorecrest Ventures, Inc. dba Western Pacific Lending, Erick C. Graziano Administrative Action 10/10/16
Raymond & Sons Realty Capital Corporation Administrative Action 11/05/20
Raymond James & Associates, Inc.; Raymond James Financial Services, Inc. Administrative Action
See also Investment Adviser Firm Summary – CRD # 705CRD # 6694
07/11/23
Raymond-Presnel Chonacas, Timothy Administrative Action 11/27/17
Ray, Krittibas Administrative Action 12/09/10
Ray Pacific Asset Management, Inc. Administrative Action 12/09/10
Ray, Pete, aka Rayburn, Pedro and Rayburn Pete Desist & Refrain Order 04/29/10
Rauh, Douglas Alan Administrative Action; See also Office of Administrative Law Decision – OAH No. 2012080604 07/10/12
Raza Development Fund, Inc. Administrative Action 11/26/12
RazzleDazzle Franchise, LLC Administrative Action 12/12/17
RAZZLEDAZZLE Barbershop, a division of RD Consulting, LLC Administrative Action 12/12/17
RAZZLEDAZZLE Franchise Corporation dba RAZZLEDAZZLE Franchise Administrative Action 12/12/17
RBC Capital Markets Corporation Administrative Action 10/31/13
RBC Mortgage Company Administrative Order 06/04/07
RC Wealth Management LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 281300
09/08/22
Rodel Corriente (SY)LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 154210
09/08/22
RCD Capital LLC Administrative Action
See also CFL licensee listing # 60DBO-76030
04/03/19
RCM Capital Management Administrative Action 04/15/20
RCO AG Credit, Inc Administrative Action
See also FSD licensee listing #6070339
04/03/19
RD Funding And Investments LLC Administrative Action 12/30/19
RD Legal Funding, LLC Administrative Action
See also CFL licensee listing #6038336
05/30/18
RDTC, Inc. Administrative Action 07/06/11
Re-Acquis Management, Inc. Stipulation to Desist & Refrain Order and Desist & Refrain Order 01/06/10
RE Equity Group, LLC Desist & Refrain Order 10/11/10
Reade, Chris Desist & Refrain Order 06/09/04
Reader, Cory P. Administrative Action 05/04/23
Readiness Technology Partners, LLC Desist & Refrain Order 12/14/10
Ready Cash Desist & Refrain Order 09/16/08
Real Equity Pursuit, LLC Civil Action 12/10/10
Real Equity Pursuit, LLC Gerald Wolfe; Nathan Arnett;  Juris Wealth Management, L.L.C. Desist & Refrain Order 03/21/11
Real Estate and Loan Consultants (THE) Desist & Refrain Order 10/11/10
Real Estate Educational Services; Yen, Danny Administrative Action 01/14/22
Real Estate Heaven Mortgage Corp. Administrative Action
See also CFL Licensee Listing # 60DBO-88134
04/03/19
Real Estate Investor Exchange Desist & Refrain Order 10/10/06
Real Haus LLC Administrative Action
See also CFL Licensee Listing # 60DBO-160792
05/03/23
Real Estate Mortgage Network, Inc. Administrative Order
see also Lic. Number 603-I908 and Lic. Number 413-0749
07/09/13
Real Prosperity, Inc. Desist & Refrain Order 02/17/11
Real Property Lenders, Inc Administrative Order 05/19/08
Real Property Mortgage and Investments, Inc. Administrative Action 05/01/09
Real-Time Oil Monitoring, Inc. Desist & Refrain Order 12/31/08
Real Video Gaming, Inc Desist & Refrain Order 08/13/07
RealFund Investment Trust Desist & Refrain Order 09/08/11
Realopts LLC Administrative Action 03/18/11
Reali Loans, Inc. Administrative Action
See also CFL licensee listing  # 60DBO-68584
04/03/20
Reality Mortgage, LLC Administrative Order 06/12/08
Realty Escrow Corporation Administrative Action; See also FSD licensee listing #9632279 09/12/11
Realty Finance Operating Partnership, L.P Administrative Action; See also FSD licensee listing #603-L617 05/03/17
Realty World-Trudnich Realty, Inc.  Administrative Action 12/14/11
Rebel LLC Desist & Refrain Order 08/16/04
Recovco Mortgage Management, LLC Administrative Action
See also CFL licensee listing  # 60DBO-54770
04/03/19
Recover Metrics, LLC Civil Action 09/30/10
Recycled Mobile Homes and Recycled Housing Desist & Refrain Order 01/02/07
Red Apple Escrow Administrative Order 11/09/11
Red Bridge Crossing, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-131998
11/18/22
Red Horizon Films, Inc. Desist & Refrain Order 10/25/13
Red Leaf Ventures, LLC DBA Red Leaf Lending Desist & Refrain Order 08/05/14
Red Rock Secured, LLC Administrative Action 05/15/23
Red Water Films, LLC Desist & Refrain Order , see also Cinamour Entertainment, LLC (PDF) 03/24/09
Redding Cash Now Administrative Action 10/02/07
Redemption Reliance, LLC Administrative Action 05/07/13
Redmon, Christina Administrative Action
See also Escrow Licensee Listing # 96DBO-89529
01/11/21
RedRhino, Inc. Administrative Action 12/01/14
Redwood Commercial Mortgage Corporation Administrative Action
See also CFL Licensee Listing # 6054288
02/10/21
Redwood Escrow Services Inc. Administrative Action
See also Escrow Licensee Listing # 9635088
09/11/23
Redwood Financial Administrative Action 05/13/05
Redwood Financial (CRMLA) Administrative Order 09/28/09
Redwood Mortgage Group Administrative Order 04/21/11
Redwood Realty Administrative Action 07/28/10
Redwood Realty Inc. Administrative Action
See also CFL Licensee Listing # 6054287
04/03/20
Reech, John Kevin Administrative Action 04/17/18
Reed, Cary Desist & Refrain Order 06/24/09
Reed, Kenneth Administrative Action
See also NMLS Licensee Listing # 249684
12/07/21
Reed, Norman Frank aka Reed, Bob Administrative Action 03/26/08
Reed, Robert Administrative Action 03/26/08
Reese, Robert aka Reese, Bob Administrative Action See also Office of Administrative Law Decision – OAH No. 2004090023 08/06/08
Reflex Developing &Testing, Inc. Desist & Refrain Order 03/26/08
ReFinance.com Administrative Order 12/08/08
reg1122@mail.com Desist & Refrain Order 07/20/07
reg1122@pochta.ru Desist & Refrain Order 07/20/07
Regal Assets LLC Administrative Action 09/27/23
Regal Capital Holdings, LLC Desist & Refrain Order 02/17/11
Regent Investment Advisors, Inc.; Mingo, Timothy Clark Administrative Action 03/24/20
Regents Financial, LLC Administrative Action
See also CFL # 60DBO-64072
04/16/21
REI (Remediation Earth, Inc.) Desist & Refrain Order 06/06/12
REI Exchange Desist & Refrain Order 10/10/06
Reid Capital Enterprises LLC Administrative Action
See also CFL Licensee Listing # 60DBO-63150
04/03/20
Reilly Kelly Productions LLC Desist & Refrain Order 01/05/10
Reilly, Joseph A. Desist & Refrain Order 01/05/10
Reimers, Bill Desist & Refrain Order 03/03/06
Reimers, Francis William Desist & Refrain Order 03/03/06
Reinboth, Michael Andrew Administrative Action 06/11/19
Reinert, Peter (Global Encryption) Desist & Refrain Order 11/29/11
Reinert, Peter (Remediation Earth) Desist & Refrain Order 06/06/12
Reis, Christoper Desist & Refrain Order 06/30/08
Reis, Harold Desist & Refrain Order 06/30/08
Reiswig, Janet Sue; Fidelity Insured Deposits;  William Martin Fendrick; Reiswig, Ronald Edward;  Administrative Action See also Office of Administrative Law Decision – OAH No. L2003070022 09/06/02
Reiswig, Janet Sue; Reiswig, Ronald Edward Administrative Action See also Office of Administrative Law Decision – OAH No. L2004080137 07/29/04
Reiswig, Janet Sue; Ronald Edward Reiswig; US America, Inc.; US America, Inc.; Global Reserves, BT aka Global Reserve, BT and Global Reserve Trust   Desist & Refrain Order (US America, Inc. and Global Reserves BT) 09/26/07
Reiswig, Ronald Edward Desist & Refrain Order (US America, Inc. and Global Reserves BT) 09/26/07
Reliable Mortgage, Inc Administrative Order 11/07/06
Reliable Mortgage Solutions, Inc. Administrative Action 05/01/09
Reliance Finance Company, LLC Administrative Action 05/01/09
Reliance Investments, LLC Desist & Refrain Order 04/29/10
Reliance Mortgage Company; Reliance Mortgage of Texas, Inc. Administrative Action 05/12/10
Reliance Mortgage Funding LLC Administrative Action
See also CFL Licensee Listing # 60DBO-99996
04/03/20
Reliance Premium Finance Inc. Administrative Action 02/03/17
Reliant Escrow Administrative Action 10/15/14
Reliant Global Markets, LLC Desist & Refrain Order 05/12/03
Reliant Life Shares, LLC Administrative Action 12/15/22
Reliant Services Group, LLC Administrative Action
See also CFL Licensee Listing #’s 60DBO-99055, 60DBO-101626
04/28/20
Remediation Earth, Inc. Desist & Refrain Order 06/06/12
Remington Financial Group. Desist & Refrain Order, see also Kilpatrick and Hart 09/12/03
Renaissance Asset Fund, Inc. Desist & Refrain Order 08/17/05
Renaissance Home & Mortgage Administrative Action 09/24/08
Renaissance Management, LLC. Civil Action 09/09/15
Renault Mutual Lending Group Administrative Action 01/19/23
Rene Reyna Ortiz Administrative Action 05/12/10
Renew Crew, LLC; Rubbish Works, LLC; 360 Painting, LLC; Pro-Lift Doors Franchise, LLC; Maid Right, LLC; Handyman Pro, LLC; Kitchen Wise, LLC; and Flick, Paul Administrative Action 11/19/21
Renew Lending, Inc. Administrative Order
See also CRMLA # 417-0049
01/01/14
Reno, Naza Administrative Action 01/01/14
Reno, Naza Desist & Refrain Order 02/01/05
Renovate America, Inc. Administrative Action
See also CFL licensee listing # 60DBO-91914
06/04/21
Rent to Own Administrative Action 05/03/07
REO Land Services Desist & Refrain Order 11/15/10
Replenish My Cash Administrative Order 04/08/10
Republic Cash Advance, Inc. Desist & Refrain Order 11/13/02
Republic First National Corporation Administrative Action
See also CFL # 60DBO-103853
04/16/21
Republic Mortgage, LLC (PDF) Administrative Order 07/31/07
REQLAIM Administrative Action
See also Investment Adviser Firm Summary – CRD # 291751
01/21/21
RM Legal Administrative Action 06/05/23
Republic Mortgage Home Loans, LLC. Administrative Order See also FSD listing #413-0900 09/01/15
Resendez, Gabriel O. Desist & Refrain Order 05/23/12
Reserve Financial Services Administrative Action 01/19/21
Reserve Petroleum California, Inc. Desist & Refrain Order 06/18/08
Residential Bancorp Administrative Action
See also CRMLA Licensee Listing # 4131217
08/24/20
Residential Capital, LLC National Mortgage Settlement, See also National Mortgage Settlement website for more information 02/09/11
Residential Capital Partners, LLC Administrative Action
See also CFL # 60DBO-44865
12/16/22
Residential Credit Solutions, Inc. Administrative Action 02/15/11
Residential Funding Company, LLC. Administrative Action 08/05/16
Residential Home Funding Corp. Administrative Action See also licensee listing #4131022 01/03/13
Residential Loan Centers of America Administrative Order 04/02/09
Residential Mortgage Services. Administrative Action
See also FSD #4130476 and NMLS #168397
06/14/18
Residential Mortgage Solutions Administrative Action
See also CFL Licensee Listing # 603E115
04/16/21
Resilience Finance Company Administrative Action See also FSD licensee listing #6052650 07/30/18
Resmac, Inc. Administrative Action
See also CFL licensee listing #’s 603K421; 603I223; 60DBO-58019 and 60DBO-105149
04/03/19
Resorts West Escrow, Inc. Administrative Action 03/04/08
Resource Capital  Administrative Order 12/6/2012
Resource Financial Services, Inc Administrative Order 03/28/19
Resource Mortgage Banking, LTD Administrative Order 12/08/08
Resource Real Estate Funding, LLC Administrative Action
See also CFL Licensee Listing # 603F123
11/19/20
Restore Solutions, Inc. Desist & Refrain Order 08/30/07
Result Property Mortgage (RPM)  Administrative Order 10/12/10
Retana, Milton Desist & Refrain Order 02/08/10
Retainer Funding Services Administrative Action See also FSD listing #603-8193, 603-J989, 603-K227 02/27/17
Retire Happy, LLC Administrative Action 03/24/23
Retirement Accounts, Inc. Desist & Refrain Order 09/27/02
Reve Enterprises Desist & Refrain Order 10/05/11
Revenue Roll Lending LLC Administrative Action
See also CFL Licensee Listing # 60DBO-156942
12/29/23
Rate Rabbit, Inc. Administrative Action
See also CRMLA Licensee Listing # 41DBO-74724
10/31/23
Reverse Mortgage Funding LLC Administrative Action
See also CRMLA Licensee Listing # 4131266
10/31/23
Reverse Mortgage USA, Inc. dba 1st Reverse Mortgage Administrative Order
See also FSD Licensee Listing #413-1195
01/26/15
Revis, Andre Desist & Refrain Order *12/07/06
Rex Animal Health, Inc. aka Rex or Rex Ag Labs Administrative Order 09/16/2019
REX Home Loans LLC Administrative Action
See also CFL #’s 60DBO-106274, 60DBO-106277, 60DBO-113387
04/16/2021
Rexford Funding, LLC Administrative Order 05/02/2012
Reyes, Cristina Madrigal Desist & Refrain Order 09/08/08
Reyes, George Administrative Action 05/16/06
Reyes, Mary Administrative Action 05/16/06
Reyes, Michelle D. Administrative Action 05/16/06
Reyes, Raymond Desist & Refrain Order 04/10/13
Reyes, Walter Alexander Administrative Action 10/12/11
Reyes Lending & Investments, Inc. Administrative Action 09/02/14
Reynolds, Clifford J. Administrative Action 09/09/19
Reynolds, Frank Desist & Refrain Order 05/29/08
Reynolds, Jason T. Administrative Action 08/24/22
Reynolds, Rob Civil Action 05/05/08
Rezabek, Carrie Administrative Action 07/09/09
RG Advisors, LLC Administrative Action
See also CRD # 314835
01/17/24
RG Capital Management, LLC. Administrative Action 01/20/17
RHM of California and RHM, Reverse Home Mortgage of California Administrative Action 09/24/08
Rhode, Stephen J. Desist & Refrain Order 12/16/02
Rhodes Investment Advisory Administrative Action 11/19/03
Rhodes, James Ernest Administrative Action 11/19/03
Rhue, Jerry Desist & Refrain Order 07/21/08
Rhue, May Desist & Refrain Order 07/21/08
Rhue, May Pei Administrative Action
See also CFL # 60DBO-35865
12/30/22
Rialto Mortgage Finance, LLC Administrative Action 12/30/19
Riberio, David J. Administrative Action 08/28/13
Rice, Alvin C. Desist & Refrain Order 10/29/07
Rice, Fredrick Administrative Action 02/14/18
Rice, Steven C. Administrative Action 12/22/17
Richard Cox Fiduciary Services. Administrative Action See also Office of Administrative Law Decision – OAH NO. 2011100520 05/23/12
Richards, Loyann L. Administrative Action see also Licensee # 963-0108 04/13/15
Richards, Karen Administrative Action 11/08/19
Richardson, Kevin Desist & Refrain Order 06/22/10
Richardson, Wayne Keith Administrative Action 12/08/15
Richfield Orion International, Inc. Administrative Action
See also CRD # 24433
01/17/23
Richmond, Chanara Susan Mae Casey Desist & Refrain Order 12/09/04
Richmond, Matthew Civil Action 05/05/08
Richport Capital, LLC Administrative Action 09/05/17
Richwell Financial, Inc. Desist & Refrain Order 08/30/06
Richwell, Ltd. Desist & Refrain Order 08/30/06
Rickman, Destyn A. Desist & Refrain Order 05/23/12
Ridge Stone Capital, Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-109677
04/19/22
Ridgegate Escrow, Inc. Administrative Action
See also Escrow Licensee Listing # 963-2226
04/24/14
Rifkin, Richard Arthur aka Rifkin, Aryeh; Rifkin, Aryeh Avraham Administrative Action 10/22/19
Rightway Financial Group, LLC Administrative Action 05/01/09
Right Start Mortgage, Inc. Administrative Action
See also CRMLA # 4131234
06/21/23
Riley, Michael Desist & Refrain Order 03/13/06
Rimer, Stan Desist & Refrain Order 12/08/06
Rinato Financial, LLC Administrative Action 12/05/18
Ringside Development Company dba Bio-One, Inc. Administrative Action 11/14/18
Rink, Amy Desist & Refrain Order 12/09/04
Rio Grande Mortgage Company Administrative Order 11/07/06
Rise Credit of California, LLC. Administrative Action; See also FSD licensee listing # 603J998 03/20/18
Rising Bird Incorporated Administrative Action 12/27/17
Rising Energy Systems Corp Desist & Refrain Order 08/04/14
Ritchie Bros. Financial Services Ltd. Administrative Action 05/25/17
Ritter, Bobby Administrative Action 11/21/23
Ritter, James David Desist & Refrain Order 05/11/06
River City Mortgage, LLC Administrative Action
See also CFL licensee listing # 60DBO-44759
04/03/19
Rivas, Tony Administrative Action 06/28/23
River Forest Financial, LLC  Administrative Action 03/28/12
Rivera Auto Insurance Services Administrative Action 03/02/17
Rivera, James Desist & Refrain Order 06/02/10
Rivera, Sr., Enrique M. Administrative Action 03/02/17
Rivera-Letrado, Blanca Betty Administrative Action
See also NMLS # 1971297
09/07/21
Riverbend Funding, LLC Administrative Action
See also CFL # 60DBO-82036
05/03/23
Rivers Entertainment Desist & Refrain Order 01/04/06
Rivers, Jordan Desist & Refrain Order 01/04/06
Riverside Check Cash “N” Loan Desist & Refrain Order 06/05/08
Riverside Finance Company, LLC Administrative Order 11/21/11
Riverstone Networks, Inc. Desist & Refrain Order 04/29/03
Riverwest Corporation Administrative Action
See also CFL Licensee Listing # 60DBO-45363
04/03/20
Riviera Capital Group, LLC Administrative Order 5/2/2012
RJN Enterprises Administrative Order 06/20/10
RLT Management, Inc. DBA Fast Money Loan Administrative Order See also FSD Licensee Listing # 603I816 03/09/19
RKF Investments, Inc. Desist & Refrain Order 07/17/08
RKM Financial Group, Inc. Desist & Refrain Order 01/18/06
RMB Operations, LLC Civil Action 08/31/09
RMC Capital Management, Inc. Administrative Action 07/27/05
Riva DCM, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-164771
09/08/22
Rivas, Nicholas Christopher Administrative Action 02/04/21
RMC Derivatives LLC Administrative Action 03/18/11
RMCFinancial.com (Khanna, Inc., dba) Administrative Action 05/01/09
RMR Financial, LLC. Administrative Action See also FSD Licensee Listing # 415-0027 01/05/16
RMS & Associates Administrative Action See also FSD # 4130476 and NMLS # 168397 06/14/18
RMS & Associates, RMS Trading Group Desist & Refrain Order 12/19/08
Roach, Dirk Desist & Refrain Order 01/30/03
Roach, James Dirk Desist & Refrain Order 01/30/03
Roadloans.com Administrative Action See also FSD licensee listing #603G787 04/06/18
Roady, Karen Jannette Administrative Action See also NMLS licensee listing #1272302 04/06/18
Roane County Shale, LLP Desist & Refrain Order 11/28/07
Robbin, Khali Desist & Refrain Order 01/03/07
Roberts, Brandon Administrative Action 06/16/09
Roberts, Greg Desist & Refrain Order 08/06/08
Roberts, Greg J. Desist & Refrain Order 08/16/08
Roberts, Jenefer Administrative Action *12/28/08
Roberts, Scott D. Desist & Refrain Order 07/22/04
Roberts, Sean R. Administrative Action See also Office of Administrative Hearing Decision See also FSD licensee listing #603A620 03/02/09
Robertson, John Administrative Action 05/01/23
Robhana Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-53835
04/03/20
Robles, Jensen; Vortic United Ltd.; Vortic Holding Ltd.; Vortic Consulting Ltd.; www.vortic-united.com Administrative Action 08/09/23
Roberson, Rayford Ray Desist & Refrain Order 06/08/03
Robles, Sergio Administrative Action
See also NMLS Licensee Listing # 1191605 
06/29/20
Robley Tonsing Developments, LLC Desist & Refrain Order and Consent 03/12/12
Robley, Chad Desist & Refrain Order and Consent 03/12/12
Robinhood Financial, LLC Administrative Action
See also Investment Adviser Firm Summary – CRD # 165998
04/06/23
Robinson, Bruce Desist & Refrain Order 06/30/11
Robinson, Bruce; Savvy Wellness; Ira Warkol Administrative Action 11/19/18
Robinson, Dale Robert Administrative Order 12/16/15
Robinson, David Administrative Action 03/01/21
Robinson, Dedric Joseph aka Robinson, DJ Administrative Action 02/02/21
Robinson, Gale (DBA Money & More) Desist & Refrain Order; Administrative Order 09/16/08
Robinson, Janice Administrative Action See also FSD Licensee Listing #9630732 10/26/18
Robinson, Keith Desist & Refrain Order, see also Applied Digital Technology 08/01/12
Robinson, Michelle Denise Administrative Action See also NMLS Licensee Listing #1639259 07/02/18
Robistow, Kathleen F. Desist & Refrain Order 02/11/05
ROC Debt Strategies Mortgage Capital WF, LLC Administrative Action 12/30/19
Rocha, Thomas Anthony Administrative Action 06/14/12
Rochford Financial Inc. Administrative Action See also FSD Licensee Listing #603H587 06/25/18
Rock and Roll Travel Show Desist & Refrain Order 05/28/08
Rock & Roll Escrow, Inc. Administrative Action 03/25/08
Rockford, John Administrative Action
See Also Office of Administrative Law Decision – OAH No. L2007010385
12/27/06
Rocket Daddy Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-59318
04/03/20
Rocket Lease Corp. Administrative Action
See also CFL Licensee Listing # 60DBO-110326
04/16/21
Rockford Group, L.L.C. Desist & Refrain Order 11/10/10
Rockfleet Financial Services, Inc Administrative Action
See also CRD # 149325
01/17/24
Rockland Fund Financial LLC Administrative Action See also FSD Licensee Listing #603K706 08/09/19
Rockpoint Mortgage LLC Administrative Action 05/12/10
Rockport Mortgage Corporation Administrative Action 12/26/23
Rockside Investments LLC Administrative Action 03/30/21
Rockwell Financial, Inc. – 603G293 Rockwell Financial, Inc. – 603G293 Administrative Action 05/19/10
Rockwood Loan Administrative Action 06/04/20
Rockwell Financial Network, Inc. Administrative Action 07/24/08
ROCO Financial Corp Desist & Refrain Order 04/29/08
Rodarte, Sonia E. Administrative Action 06/02/14
Roderick, Alex Desist & Refrain Order 11/15/06
Rodgers, John Administrative Action 09/21/20
Rodgers, Tiffany Desist & Refrain Order 05/24/04
Rodriquez, Ana Desist & Refrain Order; Civil Action 06/09/05
Rodriquez, Arnold Vergara Desist & Refrain Order 05/22/08
Rodriguez, Bob Desist & Refrain Order 12/30/02
Rodriguez, Jairo Enrique Administrative Action
See also NMLS # Licensee Listing # 618121
02/18/22
Rodriguez, Mario Rivera Administrative Action 03/01/18
Rodriguez, Mirtys Administrative Action See also FSD Licensee Listing # 963-2272 06/19/15
Rodriguez, Steven Administrative Action
See also NMLS Licensee Listing # 854020
01/02/22
Rodriguez, Shannon K. Administrative Action
See also Ball Print Technologies
10/23/07
Rodriguez-Silva, Cain Citations, Desist & Refrain Order, and Order Voiding Deferred Deposit Transactions *05/15/07
Rogers, James Brent Desist & Refrain Order 01/26/15
Rogers, Mark Administrative Action
See also NMLS Licensee Listing # 2358518
07/19/23
Rogers Production Revenue Fund, LLP Administrative Action 02/09/11
Rogers-Wirtjes, Dianna Kaye aka Rogers, D. Kaye Desist & Refrain Order 08/06/07
Rohling, Jeffrey J. Administrative Action 03/15/21
Rojas, Alejandro Administrative Action 08/31/11
ROI Ventures LLC Administrative Action
See also CFL Licensee Listing # 60DBO-96167
04/16/21
Rojas, Curtis Desist & Refrain Order 12/11/06
Rojas, Jesus Ramirez Administrative Action 10/02/20
Rolling Oaks Enterprises, LLC Administrative Action
See also See also FSD Licensee Listing #6036227
04/03/19
Roman Financial Mortgage Administrative Action 05/01/09
Roman, Cassandra Kay Administrative Action See also NMLS Licensee Listing #752586 03/04/19
Romanic, Marko Desist & Refrain Order 09/28/09
Rome Finance Company Civil Action 05/11/09
Romero, Jenni Desist & Refrain Order 10/24/04
Romero, John Desist & Refrain Order 10/22/04
Romero, Jorge Administrative Action 11/08/10
Romero, Luis A. Administrative Action 11/21/23
Romo, Jose M. Administrative Action 03/11/08
Ronda, John E. Administrative Order 10/12/10
Roof Repair Made Easy Desist & Refrain Order 05/28/08
Roque, David Desist & Refrain Order 02/07/03
Rosberg, Justin Administrative Action 04/23/14
Rose Escrow Administrative Order
Rose Fund, Inc. aka Rose Fund, LLC Desist & Refrain Order 09/30/03
Rose, Harold D., aka Rose, Butch Jr. Desist & Refrain Order 10/12/04
Rose, Jason T. Desist & Refrain Oder 06/10/08
Rose, Leslie Joy Beltran Administrative Action
See also NMLS # 1565807
01/23/23
Rosen, Bruce Todd Administrative Action 05/13/05
Rosenau Investments, Inc. Desist & Refrain Order 05/13/09
Rosenau, Donna M Desist & Refrain Order 05/13/09
Rosenau, Robert E.. Desist & Refrain Order 05/13/09
Rosenau, Robert R. Desist & Refrain Order 05/13/09
Rosewood Energy, Inc. Desist & Refrain Order 02/15/06
Rosewood Energy, LLC Desist & Refrain Order 02/15/06
Rosoff, Mel Desist & Refrain Order 10/14/14
Ross, Alan R. Administrative Action 04/03/19
Ross, Janet Desist & Refrain Order 02/22/07
Roth, Joseph Desist & Refrain Order 03/14/11
Roth, Steve Desist & Refrain Order 08/30/06
Roth, Steven E. Desist & Refrain Order 08/30/06
Roth, Steven E. M. Desist & Refrain Order 08/30/06
Round Hill Securities Administrative Action 07/18/05
Rounder Company Inc.  Administrative Order 01/03/13
Rounsaville, Brett Thomas Administrative Action
See also CRD # 322315
01/17/24
Rousseau, Gilbert (U.S. Biofuels, Inc.) Desist & Refrain Order 11/04/10
Rousseau, Gilbert Desist & Refrain Order 12/03/07
Roussel, Joseph M. Administrative Action 07/18/18
Routh, John Alan Administrative Action
See also  NMLS Licensee Listing # 1827057
09/11/19
Rowe, Derrick aka Stephens, Derrick D. aka Stephens, Derek Desist & Refrain Order 09/11/08
Rowzee, Jeanne Desist & Refrain Order 10/01/07
Roxas, Franklin Administrative Order 11/27/12
Roxie Samaniego, CPA, P.C Administrative Action 05/04/23
Roy Graigo Private Lending Services, LLC. Administrative Action 03/02/17
Royal Business Bank Administrative Action 10/25/23
Royal Crest Escrow Administrative Action 03/28/08
Royal Crown Funding  Administrative Action 03/18/11
Royal Loan Administrative Action 11/30/07
Royal Mortgage Solutions Administrative Action 09/12/18
Royal Pacific Funding Corporation Administrative Action
See also CFL Licensee Listing # 603L606
04/03/20
Royal Payday Advance, Inc. Administrative Action
See also Office of Administrative Law Decision – OAH No. L-2007090045
07/25/08
Royal Restrooms Management, LLC Desist & Refrain Order 06/11/08
Royal Tea Taiwan Co., Ltd.aka Gong Cha Group Administrative Action 05/26/20
Royalty Mortgage Funding, Inc. Administrative Action
See also CFL # 60DBO-161602
12/30/22
Royanstone.com Desist & Refrain Order 05/11/04
RPM Lenders Administrative Action 11/30/07
Rreef Structured Debt Fund Investments, LLC Administrative Order 11/28/2012
RS Lending, Inc. Administrative Action; See also CFL Licensee Listing # 60DBO-58742 04/03/19
RSA Mortgage Solutions, Inc. Administrative Action 04/13/07
RSS Marketing Civil Action 02/14/11
RSS Marketing (RSS, Inc) ;Real Source Solutions, Inc. Desist & Refrain Order 04/22/14
RSVP Lending, LLC Administrative Action
See also CFL Licensee Listing # 60DBO-68847  
04/03/20
RT Urban Row Homes, LLC Desist & Refrain Order and Consent 03/12/12
RTJ Financial Management, Inc. Administrative Action
See also Investment Adviser Firm Summary -CRD # 129511
09/08/22
RTO Investors, LLC Desist & Refrain Order 10/11/11
Rubal, Fabian a.k.a. Rabul, Fabian Administrative Action 02/19/20
Rubi, Karla Administrative Action
See also NMLS Licensee Listing # 1647633
12/21/21
Rubin, Matthew Craig Desist & Refrain Order; See also Order Revoking Effectiveness of Franchise Registration (06/17/04) (PDF) *06/18/04
Rucker, Douglas Desist & Refrain Order; See also Power Station LLC 08/26/08
Rude, Ryan Edward Desist & Refrain 07/11/11
Rudolph, James E. Desist & Refrain Order 12/24/02
Rue, Gary Alan Desist & Refrain Order 12/20/02
Ruedy & Stites Advertising Company Administrative Action; See also CFL Licensee Listing # 60DBO-83118 04/03/19
Ruffman, Ben Administrative Action 03/18/19
Ruiz, Alan Civil Action 04/16/08
Ruiz, Jesus Desist & Refrain Order 12/29/11
Ruelas, Veronica Administrative Action 09/12/08
Runnells, Cary Michael Administrative Action
See also CFL Licensee Listing # 60DBO-127314
04/19/22
Runnemede Entertainment, Inc. Desist & Refrain Order 01/31/14
Runway Growth Credit Fund Inc. Administrative Action
See also CFL Licensee Listing # 60DBO-46286
04/03/19
Rushmore Loan Management Services, LLC Administrative Action
See also CRMLA Licensee Listing # 4131068
12/03/20
Russell, Steve Desist & Refrain Order 04/02/09
Russell, Travis James Administrative Action 07/29/22
Russello, Christopher Allen Administrative Action 07/10/13
Russo, Russ Desist & Refrain Order 04/15/11
Rustin, John Wesley Administrative Action 07/30/20
Ruth, Melvin Donald Desist & Refrain Order 08/19/05
Rutledge, John Francis Administrative Action
See also CRD # 324552; CRD # 2395715
05/02/23
Rutherford, Bonnie L. Desist & Refrain Order 01/31/06
Ruttenberg, Matthew Administrative Action 12/16/21
Remabit Administrative Action 09/27/22
RWC Mortgage Administrative Action 09/01/10
Ryan, Donald Administrative Action See also another Administrative Action 10/10/16
Ryan, Donald G.568 Desist & Refrain Order 08/07/06
Ryan, Norman Ray Desist & Refrain Order 01/18/17
Ryan, Patrick Desist & Refrain Order 10/23/06
Ryan, Patrick Desist & Refrain Order 05/02/07
Ryan, Sean Administrative Action 07/03/18
Rymal, Inge Desist & Refrain Order 05/12/10
Ryms Financial Services, Inc. Desist & Refrain Order 02/18/09

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Last updated: Feb 23, 2024 @ 4:57 pm