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SUMMARY OF ENFORCEMENT ACTIONS (ADMINISTRATIVE AND CIVIL)
BY THE CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT
October-16
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
Ronald Odell Brokenbrough dba Notice of Petition for Reinstatement Unlawful Finance Lenders Law
CIG Realty & Loans Sacramento Activity
September 8, 2016
Sacramento, California (Government Code Section
11522)
Alliance Financial Resources, LLC Consent Order Unlawful Residential Mortgage
Lending Activity
Phoenix, Arizona October 4, 2016
(Financial Code Sections
50202(a) and 50204(o))
ABKO 247, Inc. dba Order Revoking California Deferred Unlawful California Deferred
Cash Plus #208 Deposit Transaction Law License Deposit Transaction Law
Activity
El Monte, California
October 4, 2016 (Financial Code Section
23052)
1
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
Pacific Management Group, Inc. dba Desist and Refrain Order Unlawful Offer and Sale of
Grupo Pacifico GPAC, SA08-13 Securities
Pacific Teak Reforestation Project
Pacific Teak October 4, 2016 (Corporations Code Sections
Ronald Kevin Fleming 25110 and 25401)
Elite Associates Ltd. PMG
Oceanside, California
El Cajon, California
Lisa Bershan Desist and Refrain Order Unlawful Offer and Sale of
Securities
Beverly Hills, California
October 4, 2016 (Corporations Code Sections
25110 and 25401)
Anderson Lee Settlement Agreement Unlawful Escrow Law
Activity
Artesia, California Order Suspending Anderson Lee
La Jolla, California from any Position of Employment, (Financial Code Section
Management, or Control of any 17423)
Escrow Agent for 6 Months
October 6, 2016
2
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
To The Point, Inc. Desist and Refrain Order Unlawful Finance Lenders Law
Activity
Oakland, California October 10, 2016
(Financial Code Sections
22162 and 22338)
Robert Zuckerman Desist and Refrain Order Unlawful Offer and Sale of
Continental Communities, LLC Securities
CLSF Management, LLC October 10, 2016
Continental Life Settlement Fund, II, LLC (Corporations Code Section
25401)
Woodland Hills, California
Gregory Daniel Behrmann dba Consent Order Unlawful Finance Lenders Law
Golden Gate Mortgage Activity
October 10, 2016
Petaluma, California (Financial Code Sections
Tracy, California 22109, 22109(a) and 22150)
Deutsche Leasing USA, Inc. Desist and Refrain Order Unlawful Finance Lenders Law
Activity
Chicago, Illinois Stipulation to Entry of Desist and
Refrain Order, Issuance of Refunds, (Financial Code Section
and Payment of Penalties 22100)
October 10, 2016
3
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
Blue Ridge Group, Inc. Desist and Refrain Order Unlawful Offer and Sale of
Source Capital Group, Inc. Securities
2011-C Two Well Drilling Program, L.P.
2010/2011 Year End Drilling Program, L.P. October 10, 2016 (Corporations Code Sections
2011 Year End Drilling Program, L.P. 25110 and 25401)
2012 Belmont Drilling Program, L.P.
Galveston Bay Drilling Program, L.P.
Stephen C. Larkin
James Duhon
Bowling Green, Kentucky
Aston Ellis Desist and Refrain Order Unlawful Offer and Sale of
Kensington Resources, Inc. Securities
Joseph Rudolph Porche
Larry Ray Crowder October 10, 2016 (Corporations Code Sections
Carlton Ladell Williams 25110 and 25401)
Costa Mesa, California
Shorecrest Ventures, Inc. dba Desist and Refrain Order Unlawful Finance Lenders Law
Western Pacific Lending Activity
Donald Ryan
October 10, 2016 (Financial Code Section
Irvine, California 22100)
4
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
Citizens Business Finance Desist and Refrain Order Unlawful Finance Lenders Law
Vincent M. San Filippo Activity
Donald Ryan
October 10, 2016 (Financial Code Section
Irvine, California 22100)
Zachary Andrew Miller Statement of Issues in Support of Mortgage Loan Originator
Denial of Mortgage Loan Originator License
University Place, Washington License Application
Orange, California (Financial Code Section
October 10, 2016 50141)
Joseph N. Fahmy Statement of Issues to Bar Joseph Unlawful Investment Adviser
N. Fahmy, from any Position of Activity
Scarsdale, New York Employment, Management or
Control of any Investment Adviser (Corporations Code Section
or Broker-Dealer 25232.1)
October 11, 2016
5
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
W.J. Bradley Mortgage Capital, LLC Settlement Agreement Unlawful Residential Mortgage
Lending Activity
Centennial, Colorado Order Revoking Residential
Sandy, Utah Mortgage Lender and Servicer (Financial Code Sections
Licenses 5032, 50327 and 50504)
October 11, 2016
Trigen Leasing LLC Accusation Unlawful Finance Lenders Law
Activity
New York, New York October 12, 2016
(Financial Code Sections
22104 and 22714)
Adel Gamil Boutros Accusation Unlawful Finance Lenders Law
Activity
Paramount, California October 12, 2016
(Financial Code Sections
22104 and 22714)
6
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
AFH Holding and Advisory, LLC Accusation Unlawful Finance Lenders Law
Activity
Beverly Hills, California October 12, 2016
(Financial Code Sections
22104 and 22714)
First American Home Loans, Inc. Order Denying Application for Unlawful Finance Lenders Law
California Finance Broker License Activity
Orange, California
October 12, 2016 (Financial Code Section
22109(a)(3))
Matt Gardner Desist and Refrain Order Unlawful Offer and Sale of
The Financial Catcher, LLC Securities
Bakersfield, California October 12, 2016 (Corporations Code Section
25110)
Maria I. Ramirez Reyna Accusation Unlawful Finance Lenders Law
Activity
Agoura Hills, California
October 12, 2016 (Financial Code Sections
22104 and 22714)
7
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
Yee Yee Aung dba Accusation Unlawful Finance Lenders Law
Cash N Ride Activity
October 13, 2016
Fremont, California (Financial Code Sections
22104 and 22714)
Trycera Financial, Inc. Desist and Refrain Order Unlawful Offer and Sale of
www.trycera.com Securities
Raymond A. Smith aka
Ray Smith October 18, 2016 (Corporations Code Section
25401)
Irvine, California
LoanOn, Inc. Accusation Unlawful Finance Lenders Law
Activity
Woodland Hills, California October 18, 2016
(Financial Code Sections
22104 and 22714)
Capital Group Financial, Inc. Accusation Unlawful Finance Lenders Law
Activity
Newport Beach, California October 18, 2016
(Financial Code Sections
22104 and 22714)
8
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
AM Title Loans, Inc. Accusation Unlawful Finance Lenders Law
Activity
Encino, California October 18, 2016
(Financial Code Sections
22104 and 22714)
Piron Escrow, Inc. fka Order Terminating Conservatorship Unlawful Escrow Law
CF Escrow, Inc. Activity
October 18, 2016
El Cajon, California (Financial Code Section
17630)
Paramount Equity Mortgage, LLC Settlement Agreement Unlawful Residential Mortgage
Lending Activity
Roseville, California October 18, 2016
(Financial Code Sections
50002 and 50513(b))
Rama Capital Partners, LLC Consent Order Unlawful Investment Adviser
Activity
Calabasas, California October 18, 2016
(Corporations Code Section
25230(a))
9
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
Larry Ynfante Desist and Refrain Order Unlawful Offer and Sale of
IntelA-Pac, Inc. dba Securities
IntelA-Pac Statement in Support of Order
Levying Administrative Penalties (Corporations Code Sections
Las Vegas, Nevada 25110, 25252 and 25401)
San Diego, California October 18, 2016
NXTLoan.com Accusation Unlawful Residential Mortgage
Lending Activity
Brighton, Massachusetts October 19, 2016
(Financial Code Sections
50307, 50326, 50401, 50310
and 50311)
Andres Eugenio Monsalve Accusation in Support of Notice of Mortgage Loan Originator
Intention to Issue Order Revoking License
Encino, California Mortgage Loan Originator License
of Andres Eugenio Monsalve (Financial Code Sections
22161(f) and 50204(k))
October 19, 2016
10
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
Nations Direct Mortgage, LLC Settlement Agreement Unlawful Residential Mortgage
Lending and Finance Lenders
Santa Ana, California October 19, 2016 Law Activity
(Financial Code Sections
50202, title 10 § 1950.314.1,
50204(o), 50204(e))
Pacific Hills, LLC dba Order Denying Finance Lender Unlawful Finance Lenders Law
First Capital Business Finance License Application Activity
Tustin, California October 19, 2016 (Financial Code Sections
22109 and 22109(a)(2))
Matthew R. Hodlin Accusation in Support of Notices Mortgage Loan Originator
of Intention to Revoke MLO License
Fallbrook, California License and to Bar from
Employment (Financial Code Sections
50513, 50141 and 50318)
October 19, 2016
Breakwater Structured Growth Opportunities Order Conditionally Granting Unlawful Finance Lenders Law
Fund, L.P. Petition for Reinstatement Activity
Los Angeles, California October 21, 2016 (Government Code Section
11522)
11
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
California Escrow Service, Inc. Order Revoking California Escrow Unlawful Escrow Law
Service, Inc.'s Escrow Agent Activity
Los Angeles, California License
(Financial Code Section
October 26, 2016 17608)
CT Investment Group, Inc. Accusation Unlawful Finance Lenders Law
Activity
Coronado, California October 24, 2016
(Financial Code Sections
22104 and 22714)
HGS Financial Group, Inc. dba Order Conditionally Granting Unlawful Finance Lenders Law
HGS Funding Petition for Reinstatement Activity
Rancho Cucamonga, California October 24, 2016 (Government Code Section
11522)
True Blue Funding, Inc. Order Denying California Finance Unlawful Finance Lenders Law
Lenders License Application Activity
San Diego, California
October 26, 2016 (Financial Code Sections
22170(b) and 22109(a)(3))
12
VIOLATIONS &
SUBJECT ACTION CHARGING SECTIONS
INational Closing and Escrow, Inc. Statement of Facts in Support of Unlawful Escrow Law
Order to Discontinue Violations Activity
San Diego, California
Order to Discontinue Violations (Financial Code Section
17602)
October 26, 2016
CrossCountry Mortgage, Inc. Consent Order Unlawful Residential Mortgage
Lending Activity
Brecksville, Ohio October 26, 2016
(Financial Code Sections
50002(a), 50320, 50321 and
50513)
Carlos Alberto Zea Londono Accusation Unlawful Finance Lenders Law
Activity
Pacoima, California October 27, 2016
(Financial Code Sections
22104 and 22714)
13