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Adminstrative Actions & Decisions — T
| Respondents | OAH File No. | Decision's Effective Date | Law | Description |
|---|---|---|---|---|
| T3 CBM Development. |
L2007120338 | 7/30/2008 | Corporate Securities Law of 1968 | Order to desist and refrain from violating Corporations Code sections 25110 (offer or sale of unqualified securities) and 25401 (omission and misrepresentatins of material facts). |
| Tannenbaum, Gregory | L2002050206 | 11/12/02 | Escrow Law | Order to suspend from acting as an escrow assistant or in any other position of employment, management or control with an escrow agent pursuant to California Financial Code section 17423 of the Escrow Law. |
| Taylor, Brandon | N2006010920 | 07/20/06 | Corporate Securities Law of 1968 | Order to desist and refrain from offering and selling unqualified securities pursuant to Corporations Code Section 25532 of the Corporate Securities Law of 1968. |
| TC Rebate Services, Inc. and Slaieh, Nabeel | L2007040649 | 10/26/07 | California Finance Lenders Law | Order to desist and refrain from making loans without a finance lender’s license. |
| Terra Vista Financial Planners | L20070700296 | 10/16/07 | Corporate Securities Law of 1968 | Order to deny the application of Mitchell M. Maynard, dba Terra Vista Financial Planners, for an investment adviser certificate. Order to bar respondents Mitchell M. Maynard and Dorice A. Maynard from any position of employment, management, or control of any investment adviser, broker-dealer, or commodity adviser. |
| The Avcorp Group and Avila, Raul | L2004090416 |
08/03/05 | Corporate Securities Law of 1968 | Order to desist and refrain from selling unqualified securities and making material misrepresentations, pursuant to Corporations Code sections 25110 and 25401 of the Corporate Securities Law of 1968. |
| Town Bancorp Funding | L2004040768 [Note all files are combined into one.] |
07/16/04 | California Finance Lenders Law | Order to (1) revoke Finance Lenders license, (2) to deny application for licensure, and (3) to desist and refrain from (i) charging excessive administrative fees, (ii) requiring borrowers to make their first loan payment less than 15 days from the date of the loan, and (iii) failing to comply with a demand of the Commissioner to make refunds of excessive administrative fees pursuant to California Financial Code sections 22714, 22109, and 22712 of the California Finance Lenders Law. See also other orders issued. |
| Trinity Investments |
N2004050227 - Amended Decision |
02/04/05 08/25/05 09/08/06 |
Corporate Securities Law |
Rejection of Proposed Decision by Administrative Law Judge and request for further briefing on issues of whether an amended Desist and Refrain Order is required, whether restitution should be reduced by amounts paid, whether an award of interest is appropriate. Order to desist and refrain from offering and selling
unqualified securities by means of any written or oral
communication, and acting as a broker-dealer or investment
adviser without possessing a certificate from the Commissioner;
and assessing ancillary relief of four hundred nineteen
thousand seventy three dollars ($419,073) and the costs
of investigation and prosecution of one hundred fourteen
thousand two hundred twelve ($114,212), pursuant to
California Corporations Code sections 25019, 25110,
25210, 25230, 25401 and 25254 of the Corporate Securities
Law of 1968. Click here to view the Desist and Refrain Order issued. |
| Trinity Investment Group |
N2004050227 - Amended Decision |
02/04/05 08/25/05 09/08/06 |
Corporate Securities Law |
Rejection of Proposed Decision by Administrative Law Judge and request for further briefing on issues of whether an amended Desist and Refrain Order is required, whether restitution should be reduced by amounts paid, whether an award of interest is appropriate. Order to desist and refrain from offering and selling unqualified securities by means of any written or oral communication, and acting as a broker-dealer or investment adviser without possessing a certificate from the Commissioner; and assessing ancillary relief of four hundred nineteen thousand seventy three dollars ($419,073) and the costs of investigation and prosecution of one hundred fourteen thousand two hundred twelve ($114,212), pursuant to California Corporations Code sections 25019, 25110, 25210, 25230, 25401 and 25254 of the Corporate Securities Law of 1968. Order to desist and refrain from offering and selling unqualified securities pursuant to Corporations Code Section 25532 of the Corporate Securities Law of 1968. Initial Decision awarded costs and ancillary relief. After writ, Amended Decision only upheld Desist and Refrain Order. Click here to view the Desist and Refrain Order issued. |