Administrative Decisions — D

Respondents OAH Decision Decision's Effective Date Law Description
Dantes, Darlene L2008030939 07/17/2008 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).
Darden III, James W. 2009080216 03/15/2010 Corporations Securities Law of 1968 Order Revoking Investment Adviser Certificate of Respondent James W. Darden III, pursuant to Corporations Code sections 25232 and 25256, is final; and Order Barring Respondent James W. Darden III from Any Position of Employment, Management, or Control of Any Investment Adviser, Broker-Dealer or Commodity Adviser, pursuant to Corporations Code sections 25232.1 and 25256, is final. See Statement of Issues
Davenport, Earl N. 2014070632 8/22/15 Corporate Securities Law of 1968 Order to desist and refrain from offering and selling securities in California by means of any written or oral communication which includes an untrue statement of material fact or omits to state a material fact necessary to make the statements made not misleading.
Davis, Susan D. L2002090150 01/07/2003 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.
Daystar Investments, Inc. 2012110338 10/11/2013 Corporate Securities Law of 1968 Order to desist and refrain from the further offer or sale of any securities in the State of California, including but not limited to promissory notes and loan agreements, in violation of section 25110 (offer or sale of unqualified securities), and section 25401 (omission and misrepresentation of material facts in connection with the offer or sale of securities) of the Corporate Securities Law of 1968.
De Mafla, Mary L2003090552 01/30/2004 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.
Del Webb Mortgage Corp. 2008080630 04/25/2009 Residential Mortgage Lending Law Order to revoke residential mortgage lender and/or servicer License for failing to file year-end audit reports for 2003 through 2006 under Financial Code sections 50326 and 50327.
Delong, Gregory Kenneth, Sr. 2012110949 11/20/2013 Escrow Law Order to bar Respondent from any position of employment, management or control with any escrow agent in the State of California, in violation of subdivision (b) of Section 17414.1 of the Financial Code (convicted of a crime involving extortion), and a crime that is reasonably related to the qualifications, functions and duties of a person engaged in the escrow business.
Delphi Wealth Advisors 2013120137 10/12/14 Corporations Code, California Code of Regulations Order to revoke respondent’s investment adviser certificate, and to bar Steven Paul Grager from any position of employment, management, or control of any investment adviser, broker-dealer or commodity adviser, for violations of Corporations Code section 25404, subdivision (b)(misrepresentations to department examiner) and California Code of Regulations, title 10, sections 260.238 (unsuitable investments), 260.238, subdivision (n) (excessive fees and fees charged inconsistent with signed contracts), 260.238, subdivision (j) (excessive fees on unmanaged accounts), 260.237 (failure to provide verification of client assets from CPA), and 260.241.3 (failure to maintain books and records.
Derr, Dennis L2003030369 10/08/2003 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
Destiny Escrow, Inc. 2013020822 09/25/2013 Escrow Law Order to bar respondent Oscar Rolando Portillo, aka Oscar Rolando Portillo Arriaga, from any position of employment, management, or control of any escrow agent, in violation of Financial Code sections 17414 and 17421, and California Code of Regulations, Title 10, sections 1738, 1738.1, and 1738.2.
Destiny Escrow, Inc., Oscar Rolando Portillo aka Oscar Rolando Portillo Arriaga, Imelda Jimenez 2013020822 09/25/2013 Escrow Law Order to bar respondent Oscar Rolando Portillo, aka Oscar Rolando Portillo Arriaga, from any position of employment, management, or control of any escrow agent, in violation of Financial Code sections 17414 and 17421, and California Code of Regulations, Title 10, sections 1738, 1738.1, and 1738.2.
DII Escrow Corp. L2005110304 05/26/2006 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 10/21/2004 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.
Double Vision Cedar Crossing #1 2008070340 05/10/2010 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). 
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 08/03/2005 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
12/07/2005 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 06/08/2007 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 05/28/2008 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.