Administrative Decisions — C

Respondents OAH Decision Decision's Effective Date Law Description
California Medspas, Inc., aka Calmed Spas, also Durocher, John Harold, aka John Powers and John Rockford and 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.
Capapie, Inc. 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).
Capital Group One, Inc.; Cristhian Gamez, also known as Christhian Gamez Manriquez; Esperanza Gonzalez, Alfredo Gonzalez L2008020165 7/22/08> 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). (see also Desist & Refrain Order)
Carver, Robert L. Brookstone Capital, Inc. , Brookstone Bioventures, LP and Brookstone Bioventures II. LP L2007070907 8/21/08 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 misrepresentation of material facts in connection with the offer or sale of securities). (See also Desist & Refrain Order)
Casa Blanca Escrow, Inc. 2012070639 10/30/12 Escrow Law Order to revoke escrow agent license from Respondent pursuant to Financial Code sections 17404, 17414, and 17406, and California Code of Regulations sections 1732.2, 1738, 1738.1, and 1738.2; Order to bar Respondent from any position of employment, management, or control of any escrow agent pursuant to Financial Code sections 17404, 17406, and 17414 subdivisions (a)(1) and (a)(2), and California Code of Regulations, title 10, sections 1738, 1732.2, 1738.1, and 1738.2.
Casa Simpatica, LLC and Brown, Suzy L2005050447 12/22/05 Corporate Securities Law of 1968 Order to rescind the desist and refrain order issued under Corporations Code section 25532.
Cash It Quick (Haddad, Nadia K.) L2008020258 07/24/2008 California Deferred Deposit Transaction Law Order to desist and refrain from engaging in the business of deferred deposit transactions in violation of California Financial Code sections 20235, subdivisions (c)(3), (c)(4), (c)(6), (e)(9) and (e)(11); and order to pay $12,000 within 30 days from the date of the decision.
Cash It Quick (Nadia Haddad, dba) L2005060355 08/28/05 California Deferred Deposit Transaction Law Order to desist and refrain from engaging in the business of deferred deposit transaction without first obtaining a License from the Commissioner pursuant to California Corporations Code sections 23005 and 23050 of the California Deferred Deposit Transaction Law. (Case Designated as Precedent)
Cash Plus, Cash Plus, Inc., Cash Plus Office No. 96 2009050040 11/19/09 California Deferred Deposit Transaction Law Order to desist and refrain from failing to maintain financial records in accordance with Financial Code Section 23007, and 10 C.C.R. Section 2025; for conducting business using a name other than the business Licensed in accordance with Financial Code Section 23023; and from failing to state that the Licensee is Licensed by the department in accordance with Financial Code Section 23027(b); and order to pay administrative penalty of $750.
Cash Til Payday L2008030198 10/29/08 California Deferred Deposit Transaction Law Order to desist and refrain from engaging in the business of deferred deposit transactions in violation of California Financial Code Sections 23035, subdivisions (c)(4), (d)(1), and 23036(f); and order to pay $5,000 within 30 days from the date of the decision, unless the department agrees to payment by an installment plan.
Cherokee Oil and Natural Gas Acquisition Co. and Ian Scott-Gross, formerly known as Raymond Charles Gross L2007070922 11/27/07 Corporate Securities Law of 1968 Order for Cherokee Oil and Natural Gas Acquisition Company, LLC, and Ian Scott-Gross, formerly known as Raymond Charles Gross, to desist and refrain from offering and selling unqualified securities, and making misrepresentations in the offer or sale of securities.
Choice Exploration, Inc., 2008070340 05/10/10 Corporate Securities Law of 1968 Order upheld to desist and refrain from violating Corporations Code section 25110 (offer or sale of unqualified securities).  Order rescinded to desist and refrain from violating Corporations Code section 25401 (omission of material facts in connection with the offer or sale of securities). 
Christiansen, Charles T. 2009050155 04/06/10 California Finance Lenders Law Accusation filed against Respondent to censure, suspend for a period not exceeding 12 months, or to bar Respondent from any position of employment, management or control (Finance Lenders Law, section 22169, and Code of Regulations, Title 10, section 1409) is dismissed.
Clarence Mackey y Salazar, Xavier O. Barrios, Joseph A. Mermis, MarrCal Oil Company, Inc. 2013010048 08/11/13 Corporate Securities Law of 1968 Order to desist and refrain from the further offer or sale of securities in the State of California, including but not limited to, interests in limited liability companies and investment contracts, in violation of section 25110 (securities offered or sold without being qualified or exempt) and section 25401 (misrepresentation or omission of a material fact) of the Corporate Securities Law of 1968
Clark, James M. 2013120577 1/5/15 Corporations Code, California Code of Regulations Order to Desist and Refrain from the further offer or sale of any securities in the State of California, including but not limited to tenancy in common interests, for violations of Section 25110 (unlawful for any person to offer or sell any security in an issuer transaction unless such sale has been qualified or unless the transaction is exempt) of the Corporations Code.
Clark, Robert M. L2003060888 08/25/04 Corporate Securities Law of 1968 Order to desist and refrain from effecting the transaction of securities without a License, selling unqualified securities, and making untrue statements of material fact to clients pursuant to the Corporations Code section 25532 of the Corporate Securities Law of 1968
CNG Financial Management, INC. 2008080015 11/12/09 California Deferred Deposit Transaction Law Order to desist and refrain from violating Financial Code sections 23036 (excess fees, extension fees, multiple transactions) and 23037 (unfair, unlawful or deceptive conduct or misleading statement); suspend License for seven days; deny second License; and order to pay $3,500 to the Commissioner (administrative penalty) and $3,142.50 to the consumers (illegally-charged extension fees).
Cochran, Joseph E. 2014020568 5/31/14 Escrow Law Order to revoke Respondent’s escrow agent license, and to bar Joseph E. Cochran from any position of employment, management, or control of any escrow agent, in violation of Financial Code section 17414, subdivision (a)(1) (knowing or reckless disbursal of escrow funds otherwise than in accordance with escrow instructions, or knowing or reckless direction, or participation in, any activity which constitutes theft or fraud in connection with any escrow transaction), California Code of Regulations, Title 10, section 1738 (money deposited in a “trust” or “escrow” account withdrawn not in accordance with written instruction of the principals to the escrow transaction), section 1738.1 (transfer of moneys from any particular escrow account in excess of the amount to credit of such account at the time of such transfer), and section 1738.2 (use of documents or other property deposited in escrow not in accordance with written instructions of the principals to the escrow transaction, or not in accordance with sound escrow practice, or pursuant to an order of a court of competent jurisdiction).
Commercial Debt Counseling Corporation, doing business as, AmerAssist Turnaround Management Corporation, Turnaround Management Corp., AmerAssist Corp., www.businessdebtcounseling.com, www.turnaroundmgmt.com, and www.amerAssist.biz, and Kenneth Monnett 2014040633 7/25/15 Check Sellers, Bill Payers and Proraters Law Order to desist and refrain from offering, engaging in, and/or providing prorater services to California consumers until licensed or exempt; order for $36,150.58 in ancillary relief; and order for $5,000 in administrative penalties.
Conlee, Robert LaVern L2004020472 10/26/04 Escrow Law Order to 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.
Consolidated Leasing Anadarko Joint Venture 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.
Consolidated Leasing Hugoton Joint Venture #2 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.
Consolidated Management Group, LLC 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.
Cooper, Peggy Sue L2006010092 07/26/06 Corporate Securities Law of 1968 Order to desist and refrain from selling unqualified securities, acting as an unlicensed investment adviser, and making misrepresentations in the offer or sale of securities, pursuant to Corporations Code Sections 25401, 25230, and 25110 of the Corporate Securities Law of 1968.
Cooper, Steve O. Sr. L2006010092 07/26/06 Corporate Securities Law of 1968 Order to desist and refrain from selling unqualified securities, acting as an unlicensed investment adviser, and making misrepresentations in the offer or sale of securities, pursuant to Corporations Code Sections 25401, 25230, and 25110 of the Corporate Securities Law of 1968.
Cooper’s Escrow L2008100882 04/03/08 Escrow Law

Order to suspend escrow agent License for failure to file 2007 audit reports pursuant to Financial Code sections 17602.5 and 17608, subdivision (b), and until such time that respondent files audit report pursuant to Financial Code section 17406 and California Code of Regulations, title 10, section 1741.5.

Cordova, Andrew 2012070150 11/27/12 Corporate Securities Law of 1968 Order to desist and refrain from violating Corporations Code sections 25130 (offering and selling unqualified, non-exempt securities) and 25210 (effecting transactions in securities as a broker-dealer without being certified).
Cornerstone Capital Management, Inc. 2013050773 03/08/14 Corporate Securities Law of 1968 Order to deny Respondent’s application for an investment adviser certificate, and to bar Respondent from any position of employment, management, or control of any investment adviser, broker-dealer, or commodity adviser, pursuant to Corporations Code Section 25232, subdivisions (a)(willfully made or caused to be made any misleading statements with respect to material fact, or has willfully omitted to state in the application or report any material fact which is required to be stated therein), (d)(applicant was subject to an SEC order, or state securities regulatory order necessary to protect the investor), (e)(violation of the Investment Advisers Act of 1940 and orders were issued for the protection of consumers), and (f)(subject to an order of the CFTC revoking registration under the Commodity Exchange Act for the protection of an investor).
Cornerstone Capital Management, Inc. and Laura Jean Kent 2013050773 03/08/14 Corporate Securities Law of 1968 Order to deny Respondent’s application for an investment adviser certificate, and to bar Respondent from any position of employment, management, or control of any investment adviser, broker-dealer, or commodity adviser, pursuant to Corporations Code Section 25232, subdivisions (a)(willfully made or caused to be made any misleading statements with respect to material fact, or has willfully omitted to state in the application or report any material fact which is required to be stated therein), (d)(applicant was subject to an SEC order, or state securities regulatory order necessary to protect the investor), (e)(violation of the Investment Advisers Act of 1940 and orders were issued for the protection of consumers), and (f)(subject to an order of the CFTC revoking registration under the Commodity Exchange Act for the protection of an investor).
Cypress Financial NW, Inc. 2004090023 11/03/09 Corporate Securities Law of 1968 Order to desist and refrain from violating Corporations Code sections 25110 (offer or sale of unqualified securities), 25210, 25230 and 25532 (unlicensed BD/I/A activity), and 25401 (omission and misrepresentation of material facts in connection with the offer or sale of securities).

CUEVA, MARICRUZ

2015020315 3/10/2016 Check Sellers, Bill Payers and Proraters Law

Order to MTC Management Group, Inc., Yvonne Arvizu, Maricruz Cueva, www.improvingmyscore.com and www.mejorandotucredito.com, individually, jointly and severally, to:

  1.  Desist and refrain from engaging in the business, for compensation, of receiving money as agent of an obligor for the purpose of paying bills, invoices, or accounts of the obligor, or acting as proraters without first obtaining a license from the Commissioner of Business Oversight;
  2. Pay restitution to the Department of Business Oversight in the amount of $24,596, within 60 days from the date of the order;
  3. Disgorge all benefits received, including but not limited to, salaries, commissions, fees, profits and any other remuneration derived directly or indirectly from their actions or practices;
  4. Rescind each and all unlawful transactions;
  5. Pay the legal rate of interest on the principal amounts paid by Mr. Flores and Mr. Bautista from the date of their payments to the date of the order;
  6. Pay administrative penalties to the Department of Business Oversight in the amount of $12,500, within 60 days from the date of the order;
  7. Pay citations to the Department of Business Oversight in the amount of $12,500, within 60 days from the date of the order; and
  8. Pay to the Department of Business Oversight its costs in the amount of $11,826.40, within 60 days from the date of the order.