Issued Enforcement Orders

The following enforcement actions issued by the Department of Banking and Securities are not yet final. This means the individual or company may choose to appeal. NOTE: all documents are in PDF format.

2/21/19
Dean J. Vagnozzi d/b/a A Better Financial Plan (PDF)

2/7/19
Security Debt Services d/b/a Financial Security Inc. (PDF)

12/14/18
Cap E Oil Fund #4, LLC, Capital Energy Group, LLC, and William J. Milles (PDF)

11/30/18
Trickling Springs Creamery, LLC and Philip Elvin Riehl, Gerald A. Byers, Elvin M. Martin, and Dale L. Martin (PDF)

11/8/18
Martino and Miles, Inc. d/b/a Peerless Advisors and Daryl S. Martino (PDF)

10/26/18
Candor Capital Partners, LLC and Seaun McCusker (PDF)

10/26/18
Alderman and Associates, LLC and Ryan A. Thompson (PDF)

10/26/18
Frederick John Amrein, d/b/a Amrein Financial (PDF)

10/24/18
The McMahon Team, LLC (PDF)

5/30/18
Cerebrum Financial Services, LLC and Christopher Antoine Glover (PDF)

10/3/17

Credit Associates, LLC (PDF)