| Respondents |
OAH File No. |
Decision's Effective Date |
Law |
Description |
Fep, Inc. |
L2004080137 |
11/03/04 |
Corporate
Securities Law of 1968 |
Order
to desist and refrain from offering and selling unqualified
securities, and acting as broker-dealers without possessing
a certificate from the Commissioner, pursuant to Corporations
Code section 25532 of the Corporate Securities Law of
1968. See
also Order Staying Desist & Refrain Order Pending
Appeal |
| Ferguson,
Steven Michael and Global Venture Group |
L2004060054 |
05/27/05 |
Corporate Securities
Law of 1968 |
Decision and
Proposed Decision in the Matter of the Desist
and Refrain Order Issued To: Steven Michael Ferguson and
Global Venture Group |
| Fidelity
Insured Deposits |
L2003070022 |
12/12/03 |
Corporate
Securities Law |
Order to vacate
the Desist and Refrain Order issued to respondent pursuant
to California Corporations Code section 25532 of the Corporate
Securities Law of 1968 because no hearing was commenced
within 15 business days after the receipt of respondents’
request for a hearing. |
Fidelity Insured Deposits, Inc. |
L2004080137 |
11/03/04 |
Corporate
Securities Law of 1968 |
Order
to desist and refrain from offering and selling unqualified
securities, and acting as broker-dealers without possessing
a certificate from the Commissioner, pursuant to Corporations
Code section 25532 of the Corporate Securities Law of
1968. See
also Order Staying Desist & Refrain Order Pending
Appeal |
| Finanzzo, Joanne |
L2004070645 |
10/14/04 |
Escrow Law |
Order
barring both Respondents from any position of employment,
management or control of any escrow agent pursuant to
Financial Code section 17702 of the Escrow Law. |
| Finanzzo, Tamara |
L2004070645 |
10/14/04 |
Escrow Law |
Order
barring both Respondents from any position of employment,
management or control of any escrow agent pursuant to
Financial Code section 17702 of the Escrow Law. |
| First Financial
Funding Group |
L2001030493 |
11/30/01 |
California
Finance Lenders Law |
Order to revoke
all licenses and licensing rights for failing to produce
books and records upon the Commissioner’s demands and
for failing to maintain a surety bond pursuant to California
Financial Code sections 22714 and 22109 of the California
Finance Lenders Law. |
| Frank, David
Carr |
L2004020454 |
10/22/04 |
Corporate
Securities Law of 1968 |
Order to bar
from any position of employment, management or control
of any investment advisor, broker-dealer or commodity
advisor pursuant to California Corporations Code section
25232 of the Corporate Securities Law of 1968. |
| Fracchia, Donald Anthony |
L2004080137 |
11/03/04 |
Corporate
Securities Law of 1968 |
Order
to desist and refrain from offering and selling unqualified
securities, and acting as broker-dealers without possessing
a certificate from the Commissioner, pursuant to Corporations
Code section 25532 of the Corporate Securities Law of
1968. |
| Franklin,
Jim |
L2001070345 |
11/7/01 |
Corporate
Securities Law of 1968 |
Order to desist
and refrain from the solicitation and sale of a fractional
partnership unit pursuant to the Corporations Code section
25532 of the Corporate Securities Law of 1968. |
