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Maryland Securities Division Administrative Actions

2015 • 20142013 2012  • 2011  • 2010  • 2009  •  2008  •  2007  •  2006  •  2005  •  2004 

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2015
Date Type of Order Subject of Order Case Name

07/17/2015

Final Order of Denial of Bar

Aurora Investment Management Group LLC and Ronald F. McDonald, III

In the Matter of: Aurora Investment Management Group LLC and Ronald F. McDonald, III

06/19/2015

Amended Consent Order

Synergia Capital Management, LLC (formerly known as A&S Financial Services) and Jagveer Singh

In the Matter of: Synergia Capital Management, LLC (formerly known as A&S Financial Services) and Jagveer Singh

06/18/2015

Summary Order to Cease and Desist and Order to Show Cause

Zachary Mannes and RAphi Capital management, LLC

In the Matter of: Zachary Mannes and RAphi Capital management, LLC

06/17/2015

Order to Show Cause

Allsource Financial Management, LLC and Gordana

In the Matter of: Allsource Financial Management, LLC and Gordana

06/17/2015

Order to Show Cause

Everest Investment Advisors, Inc. and Everest Wealth Management, Inc. and Philippe Rousseaux

In the Matter of: Everest Investment Advisors, Inc. and Everest Wealth Management, Inc. and Philippe Rousseaux

06/03/2015

Consent Order

Adam Duso, et al.

In the Matter of: Adam Duso, et al.

05/27/2015

Consent Order

Kenneth R. Ogan, Jr. and Ogan Financial Group, Inc. d/b/a True Wealth Management, et al.

In the Matter of: Kenneth R. Ogan, Jr. and Ogan Financial Group, Inc. d/b/a True Wealth Management, et al.

05/21/2015

Order to Show Cause

Aurora Investment Management Group LLC and Ronald F. McDonald, III

In the Matter of: Aurora Investment Management Group LLC and Ronald F. McDonald, III

05/21/2015

Consent Order

Synergia Capital Management (formerly known as A&S Financial Services) and Jagveer Singh

In the Matter of: Synergia Capital Management (formerly known as A&S Financial Services) and Jagveer Singh

04/13/2015

Order to Show Cause

Joseph F. Mona, Jean K. Mona and Heron Bay, LLC


Joseph F. Mona, Jean K. Mona and Heron Bay, LLC

04/09/2015

Summary Order to Cease and Desist and Order to Show Cause

Ronald D. Morley and Diane Morley (a/k/a J. Diane Burda, Diane Burda, Jennie Burda, J. Diane Morley and Jennie Morley) and The New Wealth, LLC

In the Matter of:  In the Matter of:  Ronald D. Morley and Diane Morley (a/k/a J. Diane Burda, Diane Burda, Jennie Burda, J. Diane Morley and Jennie Morley) and The New Wealth, LLC

 

04/07/2015

Order Modifying Consent Order

Outdoor Lighting Perspectives Franchise Corporation


In the Matter of:  Outdoor Lighting Perspectives Franchise Corporation

03/25/2015

Consent Order

Ronald M. Berman


In the Matter of:  Ronald M. Berman

03/23/2015

Consent Order

SpiderSmart, Inc.

In the Matter of: SpiderSmart, Inc.

03/20/2015

Consent Order

Inspired Capital Management and Jeffrey Windsor Waters


In the Matter of:  Inspired Capital Management and Jeffrey Windsor Waters

03/18/2015

Summary Order to Cease and Desist and Order to Show Cause

 Matthew A. Krimm and Krimm Financial Services, LLC and Adam Duso and Kairos Capital LLC and MBA Mortgage Services, Inc. and David C. Connelly

In the Matter of:  Matthew A. Krimm and Krimm Financial Services, LLC and Adam Duso and Kairos Capital LLC and MBA Mortgage Services, Inc. and David C. Connelly

03/09/2015

Consent Order

 Sherri’s Fun Foods, Inc.

In the Matter of:  Sherri’s Fun Foods, Inc.

02/12/2015

Consent Order

Matrix Private Equities, Inc.

In the Matter of: Matrix Private Equities, Inc.

02/03/2015

Order to Show Cause

Timothy J. Collins d/b/a Retro Wall Street Advisors and Collins Capital Advisors, LLC and Clarus Capital Partners, LLC and Tangletrade Management, LLC

In the Matter of:Timothy J. Collins d/b/a Retro Wall Street Advisors and Collins Capital Advisors, LLC and Clarus Capital Partners, LLC and Tangletrade Management, LLC

01/29/2015

Consent Order

Caffebene, Inc.

In the Matter of: Caffebene, Inc.

01/27/2015

Consent Order

OneClick Cleaners, Inc.

In the Matter of: OneClick Cleaners, Inc.

01/23/2015

Consent Order

RBC Capital Markets LLC

In the Matter of: RBC Capital Markets LLC

 

 
 
 

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