Enforcement Actions and Orders
Search for desist and refrain orders, civil actions and/or administrative actions or orders, issued by the California Corporations Commissioner from January 1, 2002 to date against individuals and firms under one or more of the laws within the jurisdiction of the Department of Corporations. If you need further assistance relating to these or other individuals and firms, please contact the Department's Consumer Services Office at 866 ASK CORP or (866) 275-2677.
For information about penalties against a Mortgage Loan Originator, please visit the Nationwide Mortgage Licensing System and Registry at http://www.nmlsconsumeraccess.org/
To view and print any of the actions or orders, connect to Adobe's website and complete "ALL" download steps; this is a one-time setup. After completion of the setup, you will have the ability to view and print ANY PDF file. You can download the PDF file to your system to view, or you can view online.
To see actions listed by name, click on the letter below which corresponds to the name of the entity. To see actions listed by date issued since 2010, please click on the Chron link. Actions listed by date is not a searchable database. You must return here in order to view the orders.
Actions & Orders: A - B - C - D - E - F - G - H - I - J - K - L - M - N - O - P - Q - R - S - T - U - V - W - X- Y - Z - Num - Chron
Administrative Hearing Decisions
Department of Corporations' cases heard by the Office of Administrative Hearings (OAH) are for contested cases, often related to the Department's enforcement of the laws it regulates. Administrative Law Judges (ALJ) preside over OAH proceedings in a manner similar to civil court trials with each party given an opportunity to make an opening statement, call witnesses, offer other relevant evidence, and make closing arguments. The ALJs are fully independent of the agencies whose attorneys appear before them and are neutral fact-finders. For information about Administration Hearings Decisions, click here, or go directly to the case summary, if you know the name of the entity.
Admin Hearing Decisions: A – B – C – D – E – F – G – H – I – J – K – L – M – N – O – P – Q – R – S – T – U – V – W – X – Y – Z
The Department of Corporations issues the Consumer Alerts! relating to companies offering escrow services, lending services, or are falsely advertising that they are Licensed by the Department of Corporations. Please note that these companies are not licensed by the California Department of Corporations to engage in business and may be operating in violation of California law.
If you need further assistance relating to these or other individuals and entities, please contact the Department's Consumer Service Center by telephone: 1-866-ASK CORP (1-866-275-2677).
California Corporations Code section 25142 allows companies interested in issuing securities in a merger or conducting an exchange of outstanding securities to seek a "fairness" hearing as part of its application for qualification of the offer and sale of securities. By this process, applicants may seek an exemption from federal registration as provided by Section 3(a)(10) of the Securities Act of 1933 through a state-law hearing on the fairness of the terms and conditions of the proposed issuance or exchange of securities.