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Delaware Department of Justice
Attorney General
Matt Denn

Fraud & Consumer Protection Division



Administrative & Director Orders


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Administrative Orders – 2016

Title of Order Date of Order Party Additional Party Link
Administrative Consent Order September 19, 2016 Kevin M. Gray Miller, Johnson, Steichen Kinnard, Inc Download
Administrative Consent Order October 14, 2016 Gabriel Block Download
Administrative Consent Order June 23, 2016 Civitas Partners LLC Gregory B. Coverdale Download
Administrative Consent Order June 23, 2016 Daniel Young Download

Administrative Orders – 2015

Title of Order Date Party Additional Party Link
Summary Order To Suspend Registration and Cease and Desist 10/20/15 Civitas Partners, LLC Daniel Young, et. al. Download
Administrative Consent Order 9/22/15 LPL Financial LLC Download
Administrative Consent Order 6/25/15 Oppenheimer & Co., Inc. Download
Administrative Consent Order 6/25/15 Janney Montgomery Scott LLC Download
Administrative Consent Order 5/15/15 Citigroup Global Markets Inc. Download

Administrative Orders – 2014

Title of Order Date Party Additional Party Link
Administrative Consent Order 9/11/14 J. P. Morgan Securities, LLC Download
Administrative Consent Order 11/6/14 Couch Oil & Gas, Inc. Charles Couch, et al. Download
Administrative Consent Order 11/12/14 Couch Oil & Gas, Inc. Charles Couch, et al. Download
Consent Order 11/13/14 Everest Investment Advisors, Inc. Download

Director Orders – 2014

Title of Order Date Link
Order Adopting The Electronic Filing Depository as a Permissible Means of Filing Form D 12/9/14 Download
Summary Order Amending the Rules Pursuant to the Delaware Securities Act 12/11/14 Download

Administrative Orders – 2013

Title of Order Date Party Additional Party Link
Order Granting Summary Relief 2/19/13 Robert T. Steen, Jr. Download
Summary Order to Cease and Desist 3/6/13 Andre DeSean Woodley, Sr. Inheritance Group, Inc. Download
Summary Order to Cease and Desist 3/14/13 Inter Reef LTD d/b/a Profitable Sunrise Roman Novak, et. al. Download
Order Cancelling Application for Registration 4/18/13 Printz Capital Management, LLC Download
Administrtive Consent Order 9/25/13 Anna Marie Watkins Download
Administrative Consent Order 10/4/13 UBS Financial Services, Inc. Download
Administrative Consent Order 10/31/13 RBC Capital Markets, LLC Download

Administrative Orders – 2012

Title of Order Date Party Additional Party Link
Administrative Consent Order 1/9/12 Raymond James & Associates, Inc. Raymond James Financial Services, Inc. Download
Consent Order 1/28/12 Uvest Financial Services Group, Inc. Download
Amended Consent Ordere 3/12/12 E*Trade Securities LLC Download
Settlement Agreement 3/28/12 AllianceBernstein L.P. Download
Administrative Consent Order 7/23/12 Morgan Keegan & Company, Inc. Download
Consent Order 11/20/12 ProEquities, Inc. Download
Consent Order 11/27/12 Bankers Life & Causualty Company BLC Financial Services, Inc. Download

Administrative Orders – 2011

Title of Order Date Party Additional Party Link
Letter of Caution 1/28/11 Robert Mann Paul Stanton, et. al. Download
Cease and Desist Order 3/8/11 Rocky Mountain Advrtising Agency Download
Agreement 4/7/11 Michael Barukhin Download
Special Stipulation Agreement and Order 4/8/11 Bradley K. Adams Download

Administrative Orders – 2010

Title of Order Date Party Additional Party Link
Administrative Consent Order 7/1/10 UBS Securities, LLC UBS Financial Services Inc. Download
Administrative Consent Order 7/9/10 Stifel, Nicolaus & Company, Incorported Download
Administrative Consent Order 9/7/10 Wells Frgo Investments, LLC Download
Summary Order 9/7/10 Peter Newman Investment Club Postnet Download
Default Order 9/20/10 Kalin Thanh Dao,
d/b/a N.L.C. Financial Services
TD Financial Services, et. al. Download
Administrative Consent Order 10/28/10 Goldman, Sachs & Co. Download
Administrative Consent Order 11/8/10 Gary L. Woulard Download
Default Order 11/22/10 L. Paul Schmidt ATC Investment Group, LLC Download
Consent Order 11/22/10 Thomas A. Guido Download
Settlement Agreement 12/8/10 Thomas A. Guido PNC Investments LLC Download

Director Orders – 2014

Title of Order Date Link
Order Adopting Amended Part 2 of Form ADV 10/14/10 Download

Administrative Orders – 2009

Title of Order Date Party Additional Party Link
Consent Order 2/17/09 John J. Parker Richard J. Massaux Download
Administrative Consent Order 3/31/09 Wachovia Securities, LLC Wachovia Capital Markets, LLC Download
Administrative Consent Order 4/7/09 Citigroup Global Markets Inc. Download
Administrative Consent Order 5/27/09 Banc of America Securities LLC Banc of America Investment Services, Inc. Download
Consent Order 7/10/09 McLaughlin Piven & Vogel Securities, Inc. Download
Administrative Consent Order 9/1/09 RBC Capital Markets Corporation Download
Administrative Consent Order 9/10/09 Merrill Lynch, Pierce, Fenner & Smith Inc. Download
Admisistrative Consent Order 9/17/09 TD Ameritrade, Inc. Download
Administrative Consent Order 10/20/09 Merrill Lynch, Pierce, Fenner & Smith Inc. Download
Agreement and Order 11/17/09 Ameritrade, Inc. Download
Consent Order 11/19/09 Deutsche Bank Securities, Inc. Download
Administrative Consent Order 11/19/09 JP Morgan Chase & Co. Download
Administrative Consent Order 12/4/09 Morgan Stanley & Co., Inc. Download
Administrtive Consent Order 12/17/09 Credit Suisse Securities (USA) LLC Download

Administrative Orders – 2008

Title of Order Date Party Additional Party Link
Summary Order to Cease and Desist 8/6/08 TC&P Trade d/b/a High Capital David Brook, et. al. Download
Settlement Agreement 10/20/08 Merrill Lynch, Pierce, Fenner & Smith Inc. Download

Administrative Orders – 2007

Title of Order Date Party Additional Party Link

Administrative Orders – 2006

Title of Order Date Party Additional Party Link
Opinion and Order 3/23/06 Donald Mattei HDN, Inc. Download
Opinion Order 3/23/06 Donald Mattei HDN, Inc. Download
Restitution Order 5/4/06 Terrell Harvey Hale Associates, Inc. Download
Order 5/8/06 Donald Mattei HDN, Inc. Download
Order 5/8/06 Donald Mattei HDN, Inc. Download
Opinin and Order 9/15/06 Fletcher King Morgan Stanley DW Download
Opinion and Order 9/15/06 Fletcher King Morgan Stanley DW Download
Order 10/30/06 Fletcher King Morgan Stanley DW Download

Administrative Orders – 2005

Title of Order Date Party Additional Party Link
Consent Order 2/11/05 Kevin M. Gray Miller Johnson, et. al Download
Consent Order 2/11/05 Kevin M. Gray Miller Johnson, et. al Download
Consent Order 2/20/05 Kevin M. Gray Miller Johnson, et. al Download
Administrative Consent Order 8/22/05 Deutsche Bank Securities, Inc. Download
Administrative Consent Order 8/22/05 Deutsche Bank Securities, Inc. Download
Consent Order 8/31/05 George G. Coughlin, III Argie Economou, et. al Download
Consent Order 8/31/05 George G. Coughlin, III Argie Economou, et. al Download
Consent Order 8/31/05 George G. Coughlin, III Argie Economou, et. al Download
Administrative Consent Order 9/7/05 Thomas Weisel Partners, LLC Download
Administrative Consent Order 9/7/05 Thomas Weisel Partners, LLC Download
Consent Order 10/20/05 Wilmington Trust Company Download
Consent Order 10/20/05 Wilmington Trust Company Download

Administrative Orders – 2004

Title of Order Date Party Additional Party Link
Consent Order 2/20/04 Doher Ferris Download
Consent Order 2/20/04 Eddie Ghabour Download
Consent Order 2/20/04 Doher Ferris Download
Consent Order 2/20/04 Eddie Ghabour Download
Consent Order 6/7/04 Thomas M. Roycroft Download
Consent Order 6/7/04 Thomas M. Roycroft Download
Consent Order 9/17/04 Jerry Denton Download
Consent Order 9/17/04 Jerry Denton Download

Administrative Orders – 2003

Title of Order Date Party Additional Party Link
Default Order 4/10/03 The Rockwell Financial Group, Inc. Hugh D. Dunn, Jr., et. al. Download
Order 6/2/03 Duane J. Ackerman Dennis J. Ackerman Download
Consent Order 8/20/03 Goldman, Sachs & Co. Download
Administrative Consent Order 8/25/03 J.P. Morgan Securities Inc. Download
Consent Order 9/11/03 Bear, Stearns & Co. Inc. Download
Administrative Consent Order 9/11/03 Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation Download
Administrative Consent Order 9/11/03 UBS Warburg LLC UBS PainWebber Inc. Download
Administrative Consent Order 9/11/03 U.S. Bancorp Piper Jaffray Inc. Download
Administrative Consent Order 9/22/03 Morgan Stanley & Co. Incorporated Download
Consent Order 9/23/03 Lehman Brothers Inc. Download
Administrative Consent Order 10/22/03 CitiGroup Global Markets Inc. Download
Administrative Hearing Officer’s Opinion and Order 10/24/03 Duane J. Ackerman Dennis J. Ackerman Download

Administrative Orders – 2002

Title of Order Date Party Additional Party Link
Consent Order 1/22/02 Preferred Securities Group, Inc. Mark Chavez Download
Default Order 3/18/02 Terrell Harvey Hale Associates, Inc. Download
Default Order 5/2/02 Preferred Securities Group, Inc. Mark Chavez Download
Default Order 7/15/02 Fred Marc Dorushkin Download
Order 10/3/02 Fred Marc Dorushkin Download
Consent Order 11/15/02 Beneficial Funding Corp. Nationwide Consultants, Inc,. et. al. Download
Consent Order 11/19/02 Terrell Harvey Hale Associates, Inc. Download
Settlement Agreement 11/26/02 Merrill Lynch, Pierce, Fenner & Smith, Inc. Download

Administrative Orders – 2001

Title of Order Date Party Additional Party Link
Consent Order 2/1/01 Jame Patrick Cahill d/b/a Delaware Financial Insurance and Investment, Inc. Download
Consent Order 2/2/01 Global Security Management
Association Incorporation
Bruce Ralston Download
Consent Order 2/6/01 Anthony E. Vivino, Jr. Janney Montgomery Scott, Inc. Download
Order to the Respondent’s Motion to Vacate Default Order 2/20/01 Brian R. Buckson t/a Buckson Realty Brokerage, Inc. Download
Consent Order 2/27/01 Anthony E. Vivino, Jr. Janney Montgomery Scott Inc. Download
Consent Order 8/21/01 Hatem Eid Download

Administrative Orders – 2000

Title of Order Date Party Additional Party Link
Final Order 3/6/00 Brian R. Buckson t/a Buckson Realty Brokerage, Inc. Download
Summary Cease and Desist Order 12/26/00 Mark Yagalla d/b/a Ashbury Capital Management, LLC Download

Administrative Orders – 1999

Title of Order Date Party Additional Party Link
Default Order 1/27/99 William N. Whelen, Jr. Simon Securities Inc., et al. Download

Administrative Orders – 1998

Title of Order Date Party Additional Party Link
Order 4/6/98 Addison & York Group Timothy Martin Arnold Download

Administrative Orders – 1997

Title of Order Date Party Additional Party Link

Administrative Orders – 1996

Title of Order Date Party Additional Party Link

Administrative Orders – 1995

Title of Order Date Party Additional Party Link
Order to Vacate Summary Stop Order 1/18/95 Long Distance Direct, Inc. Download

Administrative Orders – 1994

Title of Order Date Party Additional Party Link
Consent Order 1/24/94 Barrett Day Securities,Inc. Download
Opinion and Order 2/7/94 Jeffrey Jurrist Download
Final Order of Revocation 3/29/94 Barry Victor Bernstein Download
Opinion and Order 6/10/94 Griffin & Associates, Inc. Preferred Holdings, Inc., et. al. Download
Consent Order 6/22/94 Westfield Financial Corp. Download
Order 7/28/94 Howard Aaron Rubin Download
Consent Order 8/25/94 Principal Financial Securities Inc. Eppler, Guerin & Turner, Inc. Download
Order of Probationary Registration 9/7/94 Retirement Solutions, Inc. William R. Barto Download
Summary Stop Order and Notice of Intent to Deny Registration 12/29/94 Long Distance Direct, Inc. Download

Administrative Orders – 1993

Title of Order Date Party Additional Party Link
Consent Order 1/14/93 Henry Jerome Gawel Download
Order 2/22/93 Robert L. Sidell Download
Consent Order 3/22/93 Resource Consultants, Inc. Edelgard Schuett Kelm et. al. Download
Summary Order of Suspension 6/28/93 Barry Victor Bernstein Download
Consent Order 8/10/93 Nori, Hennion, Walsh, Inc. Download
Order 8/31/93 Leisure Time Cable Co., Inc. Cable Partners II L.P., et. al. Download
Consent Order 9/3/93 Allen J. Freid Download
Consent Order 9/14/93 Dolphin & Bradbury Inc. Download
Final Order to Cease and Desist 10/15/93 Leisure Time Cable Co., Inc. Cable Partners II L.P., et. al. Download
Order of Revocation 10/28/93 Portfolio Asset Management USA Financial Group, Inc. Download
Final Consent Order 11/23/93 Prudential Securties Inc. Download

Administrative Orders – 1992

Title of Order Date Party Additional Party Link
Opinion and Order 1/7/92 Power Securities Corporation Richard T. Marchese, et al. Download
Order 1/10/92 Peter Fingerhut Richard L. Probstein Download
Opinion and Order 1/14/92 F. D. Roberts Securities, Inc. Albert V. Celente Download
Order 1/30/92 J. W. Gant & Associates Inc. Thomas L. View III, et. al Download
Opinion and Order 2/13/92 Hibbard, Brown & Co., Inc. Michael Martone, et. al. Download
Order 2/14/92 Paragon Capital Corp. John C. Evans, et. al. Download
Final Order of Revocation 3/27/92 Anthony Joseph Pontieri Download
Final Order of Denial 3/27/92 G. J. Allison & Co., Inc. Download
Final Order of Revocation 3/27/92 Marshall Davis, Inc. Download
Final Order of Revocation 3/27/92 Princeton Financial Group, Inc. Download
Order 4/3/92 Ray Pyper Trans-Global Trading, Inc. Download
Order 4/13/92 Premier Income Development, Inc. Ralph W. Newton, Jr. et. al. Download
Order 4/22/92 Resource Consultants, Inc. Edelgard Schuett Kelm et. al. Download
Consent Order 4/22/92 Thomas Greer Firestone Download
Order 4/30/92 Theodore R. Giergielewicz Download
Order 4/30/92 V.P. Securities, Inc. Download
Order to Vacate Notice of Intent to Deny Broker-Dealer Registration 6/5/92 Black & Company, Inc Download
Consent Order 6/11/92 Charles William Eye Download
Consent Order 6/11/92 Simon Securities, Inc. William N. Whelen, Jr. Download
Order of Suspension 6/15/92 Simon Securities, Inc. William N. Whelen, Jr. Download
Order 6/30/92 Don Pyle Download
Order 8/17/92 Olde Discount Corp. Michael R. Donahoe Download
Order 11/20/92 Allen J. Fried Download

Administrative Orders – 1991

Title of Order Date Party Additional Party Link
Order 3/4/91 F. Thomas Greer BHG Unlimited Download
Cease and Desist Order 3/4/91 F. Thomas Greer BHG Unlimited Download
Order 3/11/91 Premier Income Development, Inc. Ralph W. Newton, Jr. et. al. Download
Summary Order of Suspension and Notice of Intent to Revoke
Broker-Dealer and Agent Registration
4/8/91 Russell Gordon Koch Kochcapital, Inc. Download
Consent Order 4/17/91 Howard Aaron Rubin Download
Final Order 5/8/91 Russell Gordon Koch Kochcapital, Inc. Download
Summary Stop Order 5/17/91 Hantex Development, Inc. Thomas Chin Kwong Too Download
Summary Stop Order 5/17/91 Omega Environmental, Inc. Leo L. Azure, Jr. Download
Summary Stop Order 5/17/91 Bio-Gas Development, Inc. Thomas W. Fowler, III Download
Order 6/26/91 First Investors Corp. First Investors Consolidated Corp. et. al. Download
Order to Vacate Summary Stop Order 7/16/91 Proconnextions, Inc. Joseph Hovorka Download
Order to Vacate Summary Stop Order 7/30/91 Omega Environmental, Inc. Leo L. Azure, Jr. Download
Opinion and Order 8/2/91 F. Thomas Greer BHG Unlimited Download
Cease and Desist Order 8/29/91 R. Griggs Levy The Water Pros, Inc. Download
Opinion and Order 9/18/91 Vanderbilt Securities, Inc. Heywood G. Brody Download
Order 9/23/91 First Montauk Securities Corp. William J. Kurinsky et. al. Download
Summary Stop Order 10/3/91 Las Vegas Entertainment Network, Inc. Stan Irwin Download
Order 11/14/91 Theodore K. Flowers Download
Order 11/19/91 Thomas G. Firestone Download
Consent Order 12/3/91 Karl Francis Birkenfeld Download
Order 12/6/91 Thomas James Associates, Inc. John M. Hurley Download

Administrative Orders – 1990

Title of Order Date Party Additional Party Link
Consent Order 1/16/90 Venture Income Plus, Inc. Download
Opinion And Order 1/16/90 Allied Capital Group, Inc. Floyd J. Stumpf Download
Order Of Postponement 2/2/90 Peter Hargitt Foley Download
Stipulation And Consent Agreement With Final Order 3/2/90 William F. Masucci Download
Final Order 3/2/90 William F. Masucci Download
Consent Order 4/4/90 Robert L. Sidell d/b/a Sidell Financial Management Download
Summary Stop Order 5/4/90 Bi-County Clinic & Nursing Home, Inc. Arcadia Nursing Center et al. Download
Consent Order 5/29/90 Steadman Associated Fund Steadman Oceanographic Technology
& Growth Fund
Download
Consent Order 5/29/90 The Rushmore Fund, Inc. Download
Consent Order 6/9/90 Rockwell-Hudson Financial Services Inc. Download
Consent Order 7/23/90 Legalgard Inc. Download
Order of Postponement of Registration As An Agent 8/23/90 Dougls Spinosa Download
Summary Order of Postponement and Notice of Intent to Deny
Agent Registration
8/23/90 Douglas Spinosa Download
Stipulation And Consent Order 9/10/90 John Templeton Thorn, Jr. Download
Order 9/17/90 Blinder, Robinson & Company, Inc. Download
Order To Vacate 9/29/90 Douglas Spinosa Download
Summary Order of Postponement and Notice of Hearing 10/22/90 TAW Securities, Inc. Download
Opinion of the Designated Hearing Officer 11/15/90 Blinder Robinson and Co., Inc. John Templeton Thorn, Jr. et al. Download
Cease and Desist Order 11/15/90 Harry Dow Morris, Alan Rasmussen Morris and Rasmussen, Inc. et. al. Download
Order 11/16/90 Blinder Robinson and Co., Inc. John Templeton Thorn, Jr. et. al. Download
Summary Order of Postponement and Notice of Intent to Deny Agent Registration 12/3/90 Lawrence J. Zirinsky Download
Order of Postponement of Registration as an Agent 12/4/90 Lawrence J. Zirinsky Download
Order 12/18/90 Brendan Hart Download
Stipulation and Consent Order 12/20/90 FSC Securities Corporation Download

Administrative Orders – 1989

Title of Order Date Party Additional Party Link
Proceeding To Suspend Or Revoke Broker-Dealer And Agent Registrations 4/5/89 W. N. Whelen & Co., Inc. William N. Whelen, Jr Download
Summary Order of Suspension And Notice Of Intent To Revoke Broker-Dealer and Agent Registrations 4/6/89 Allied Capital Group, Inc. Floyd J. Stumpf Download
Opinion And Order 6/14/89 Allied Capital Group, Inc. Floyd J. Stumpf Download
Opinion And Order 7/3/89 Allied Capital Group, Inc. Floyd J. Stumpf Download
Opinion And Order 7/8/89 Allied Capital Group, Inc. Floyd J. Stumpf Download
Stipulation And Consent Order 7/14/89 Allied Capital Group, Inc. Floyd J. Stumpf Download
Order 8/9/89 Allied Capital Group, Inc. Floyd J. Stumpf Download
Order 8/11/89 Allied Capital Group, Inc. Floyd J. Stumpf Download
Summary Order Of Postponement And Notice Of Intent To Postpone Broker-Dealer Registration And Order Of Postponement Of Registration As Broker-Dealer 9/28/89 Osborne, Stern & Company, Inc. Douglas W. Osborne Download

Administrative Orders – 1988

Title of Order Date Party Additional Party Link
Order Revoking Broker-Dealer Registration And Agent Registration With Fine Assessed 8/29/88 1st Securities of America, Inc. Dennis L. Astorri Download
Order Of Revocation 12/7/88 Autrey J. Locklear Download

Administrative Orders – 1987

Title of Order Date Party Additional Party Link
Order Suspending Broker-Dealer Registration 5/19/87 Blinder, Robinson & Company, Inc. n/a Download




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