Administrative Decisions — K

Respondents OAH Decision Decision's Effective Date Law Description
Keegan, Kenneth W. 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.
Keith Allen Mills 2013070479 12/26/13 Corporate Securities Law of 1968 Order to bar Respondent from any position of employment, management or control of any broker-dealer or investment adviser pursuant to Corporations Code section 25213, and section 25212 (b) (convicted of a felony or misdemeanor which involved the purchase or sale of any security, arose out the conduct of the business of a broker-dealer or investment adviser, involved theft, or involved the violation of section 1341, 1342, or 1343 of Title 18 of the United States Code).
Kent, Laura Jean 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).
Kilroy, Michael J. L2007040489 07/09/10 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  Order rescinded to desist and refrain from violations of Corporations code section 25401 (omission and misrepresentation of material facts in connection with the offer or sale of securities). See desist and refrain order
Kim, Kwang Tae

L2004040768
L2004040770
L2004040772

[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.

Kobay Financial Corporation L2005040040 11/04/05 CaliforniaFinance Lenders Law Order to revoke Finance lenders License for providing a false brokers License, brokering loans to nonLicensed lenders, failing to disclose broker fees, failing to disclose License number and other information, preparing false borrower-lender agreements and good faith estimates, and paying commissions to non-exempt persons, in violation of Financial Code Sections 22059 (c), 22156 (c), 22161 (b), 22338 (d) and (f), and Title 10, California Code of Regulations, Sections 1451 (c) and 1454 (a) (5) and (g).