| Respondents |
OAH File No. |
Decision's Effective Date |
Law |
Description |
| Dantes, Darlene |
L2008030939 |
7/17/2008 |
Corporate Securities Law of 1968 |
Order to desist and refrain from violating Corporations Code sections 25110 (offer or sale of unqualified securities) and 25401 (misrepresentations of material facts). |
| Davis, Susan
D. |
L2002090150 |
01/07/03 |
Escrow Law |
Order to bar
from any position of employment, management or control
of any escrow agent pursuant to California Financial Code
section 17423 of the Escrow Law. |
| De Mafla, Mary |
L2003090552 |
01/30/04 |
Escrow Law |
Order to bar
from any position of employment, management or control
of any escrow agent pursuant to California Financial Code
section 17423 of the Escrow Law. |
| Derr,
Dennis |
L2003030369 |
10/08/03 |
Corporate Securities
Law of 1968 |
Order to desist
and refrain from selling securities as a broker without
a license from the Commissioner, selling unqualified securities,
and making untrue oral and written statements which materially
influenced the decisions of clients pursuant to the Corporations
Code section 25532 of the Corporate Securities Law of
1968 |
| DII Escrow
Corp. |
L2005110304 |
05/26/06 |
Escrow Law |
Order
to revoke escrow agent license and to bar from any
position of employment, management, or control for continuing
to conduct escrow business without a license and falsifying
records in violation of Financial Code Sections 17200,
17404, 17414, 17423, and 17702. |
| DII Escrow
Corp. |
L2003090685 |
10/21/04 |
Escrow Law |
Order
to suspend escrow license for a period of fifteen
(15) consecutive calendar days, for allowing monies to
be deposited with affiliates, recklessly causing the disbursal
of escrow funds, and permitting the commingling of funds
pursuant to California Financial Code sections 17414 and
17608 of the Escrow Law. |
| DreamLife
Investments Inc., (dba DreamLife Financial) |
L2005030188 - See also Notice
of Intention to issue Order Revoking Finance Lenders License and Order
Revoking Finance Lenders Licenses |
08/03/05 |
California
Finance Lenders Law |
Order to revoke
finance lender and broker licenses for failing to (1)
disclose in its initial application all officers, directors,
and persons having a 10% or more financial interest, (2)
disclose in its short form applications all officers,
directors, and persons having a 10% or more financial
interest, (3) amend its applications to indicate a change
in all officers, directors, and persons having a 10% or
more financial interest, and (4) continually maintain
a current list of all officers and directors with the
Commissioner, pursuant to California Financial Code sections
22101, 22102, and 22108 of the California Finance Lenders
Law and Title 10 of the California Code of Regulation,
sections 1409 and 1422. |
| Dougherty,
Donald E. and Groves Mobile Home Real Estate, Inc. |
L2005050145
|
12/07/05 |
Corporate Securities
Law of 1968 |
Order to withdraw
the desist and
refrain order issued under Corporations Code section
25532. See also Proposed
Decision (07/25/06) and Order
of Rejection of Proposed Decision (11/04/05). |
| Durocher, John
Harold, aka John Powers and John Rockford and California
Medspas, Inc., aka Calmed Spas |
L2007010385 |
06/08/07 |
Corporate Securities
Law of 1968 |
Order for John
Durocher and California MedSpas, Inc. to desist
and refrain from offering or selling or buying or
offering to buy any security in State of California, including,
but not limited to, shares of common stock in CalMed Spas
by means of any written or oral communication which includes
an untrue statement of a material fact or omits to state
a material fact.
Order for John Durocher and California MedSpas, Inc. to desist
and refrain from further offer or sale in State of
California of securities, including, but not limited to
shares of common stock in CalMed Spas unless and until
qualification has been made under said law or unless exempt. |
| Doolittle, Kenneth |
L2007090318 |
5/28/2008 |
Corporate Securities Law of 1968 |
Order to desist and refrain from selling unqualified securities, from selling securities by means of an untrue statement of a material fact, and from conducting business as an unlicensed investment adviser; revocation of broker-dealer certificate; bar of Kenneth Doolittle from employment in the securities industry; and order to pay restitution in the amount of $244, 970.62, administrative penalties in the amount of $23,000 and costs in the amount of $32,260. |
