Administrative Decisions — S

Respondents OAH Decision Decision's Effective Date Law Description
Sadek, Inc. L2007100635 12/12/08 Escrow Law Order to suspend from any position of employment, management or control of any escrow agent for 12 months and Order revoking escrow License of Platinum Coast Escrow, Inc, pursuant to California Financial Code sections 17202, 17210, and 17414; and Title 10, CCR sections 1726, 1732.2(a) 1738, 1738.1 and 1738.2. See other actions.
Sadek, Nazih Daniel, as an individual L2007100635 12/12/08 Escrow Law Order to suspend from any position of employment, management or control of any escrow agent for 12 months and Order revoking escrow License of Platinum Coast Escrow, Inc, pursuant to California Financial Code sections 17202, 17210, and 17414; and Title 10, CCR sections 1726, 1732.2(a) 1738, 1738.1 and 1738.2. See other actions.
San Marcos Check Cashing L2006100864 4/5/07
California Deferred Deposit Transaction Law Order to revoke License of Chucri El-Maasri, dba San Marcos Check Cashing, for failing to maintain books and records in accordance with Financial Code section 23023, failing to disclose information to consumers in accordance with Financial Code section 23035, charging excessive fees in violation of Financial Code section 23036, and filing a false report in violation of 10 C.C.R. sec. 2030.
Salazar, Clarence Mackey y 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
Salazar, George Michael L2003100573 01/30/04 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.
Saraj, Jamshid L2006110258 03/14/07 Escrow Law Affirmed Order against Shiraz Escrow to discontinue escrow activities; revoked License of Shiraz Escrow, Inc; and barred Jamshid from any position of employment, management, or control of any escrow agent
Save-A-Lot, Ltd 2007120040 03/20/09 Franchise Investment Law Order to rescind Desist and Refrain Order issued September 25, 2007. See also the Desist & Refrain Order
Scharringhausen, Robert M. 2008070293 02/05/09 Corporate Securities Law of 1968 Order to desist and refrain from violating Corporations Code sections 25110 (offer or sale of unqualified securities). (See also Desist & Refrain Order)
Schultz Investment Advisory L2005120719 03/09/06 Corporate Securities Law of 1968 Order to deny respondent's application for an investment advisor certificate pursuant to Corporations Code section 25232 of the Corporate Securities Law of 1968.
Scott-Gross, Ian 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.
The Senior's Choice, Inc. and Everhart, Steven L2007020013 05/01/07 Franchise Investment Law Order to desist and refrain from offering or selling unregistered franchises in violation of Corporations Code section 31110.
Shaner, William M.. 2007120040 03/20/09 Franchise Investment Law Order to rescind Desist and Refrain Order issued September 25, 2007.
Shemano Capital Managemen L2004060054 07/07/05 Corporate Securities Law of 1968 Order to discontinue violations of failing to maintain required books and records, acting as an investment adviser after certificate was revoked; and assessing an administrative penalty of thirty thousand two hundred fifty dollars ($30,250) and cost recovery of twenty four thousand dollars ($24,000), pursuant to California Corporations Code sections 25230, 25244, 25249, 25252, 25256.
Shiraz Escrow , Inc. L2006110258 03/14/07 Escrow Law Affirmed Order against Shiraz Escrow to discontinue escrow activities; revoked License of Shiraz Escrow, Inc; and barred Jamshid from any position of employment, management, or control of any escrow agent
Shulman, Jerry L2007050142 04/08/08 Corporate Securities Law of 1968 Order to desist and refrain from offering and selling unqualified securities pursuant to the Corporations Code section 25110 of the Corporate Securities Law of 1968.
Simply Escrow, Inc., a California Corporation 2008040755 12/17/08 Escrow Law Order to revoke escrow License and to pay administrative penalty in the amount of $48,600 for failure to file audit financial report pursuant to Financial Code sections 17600 and 17408 of the Escrow Law. See other actions.
Singh, Raman, dba Primestar Lending and as an individual L2008080077 01/22/08 California Finance Lenders Law Order to revoke broker License and to bar from any position of employment, management, or control of any Finance lender, broker, or any other person Licensed and doing business under the California Finance Lenders Law. See other actions.
Slaieh, Nabeel L2007040649 10/26/07 California Finance Lenders Law Order to desist and refrain from making loans without a Finance lender’s License.
Simnowski, Gina L2001110583 04/12/02 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. See also Administrative Action
Soliel, Jean-Claude N2006110225 03/14/07 Corporate Securities Law of 1968 Affirmed the October 2, 2006 order to desist and refrain from the unlawful offer or sale of securities, including memberships in investment groups.
Spradlin, Zenaida C 2013090955 4/26/14 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 investment contracts, in violation of Sections 25110 (offer or sale of any security in an issuer transaction without qualification or exemption), and 25401 (made an untrue statement of material fact or omitted to state a material fact) of the Corporate Securities Law of 1968.
Spunky Girl Productions L2006040382 08/22/06 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.
Star Escrow, Inc. L2003020312 10/20/04 Escrow Law Order to suspend escrow License, for a period of fifteen (15) consecutive calendar days and to assess a monetary penalty of twenty thousand dollars ($20,000), for failing to timely file audit reports as well as failing to notify the Commissioner that a different accountant was to prepare the 2001 and 2002 audit reports than the accountant who prepared the most recent reports pursuant to California Financial Code sections 17406 and 17608 of the Escrow Law.
Stellar Enterprise Associates, 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.
Stengell, Scott A. 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).
Stephen Paul Grager and Delphi Wealth Advisors, Inc 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.
Stereo Vision Entertainment, Inc. and John H. Honour, aka Jack Honour 2014100392 4/8/2015 Corporate Securities Law Order to desist and refrain from offering or selling unqualified securities, and from making misrepresentations or material omissions in the offer or sale of securities, in violation of Corporations Code sections 25110 and 25401
Stevenson, Michael E. 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.
Mark E. Sumpter and Abode Investments, L.L.C. L2008040381 11/6/08 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).
Sun-Noor N2000100368 11/25/02 Corporate Securities Law of 1968 Order to desist and refrain from acting as an investment adviser while not licensed as an investment adviser in the State of California, and to assess an administrative penalty of fourteen thousand dollars ($14,000), pursuant to the Corporations Code section 25532 of the Corporate Securities Law of 1968.
Sunset One Escrow, Inc. 2015020143 7/19/15 Escorw Law Order to discontinue escrow activities under Financial Code section 17415.
Super Absorbent Company L2007050141 7/2/2008 Corporate Securities Law of 1968 Order denying respondent's application to offer and sell securities in California pursuant to Corporations Code section 25140(b).
Superior Escrow Solutions 2015010064 8/20/15 Escrow Law Order to desist and refrain from engaging in the business of an escrow agent unless licensed or exempt from licensure.
SVL Investment Management L2003080264 04/29/04 Corporate Securities Law of 1968 Order to discontinue violations of failing to file required financial reports with the Department, and to assess an administrative penalty of one thousand five hundred dollars ($1,500), pursuant to California Corporations Code section 25232 of the Corporate Securities Law of 1968.
Sweeney II, James Albert L2007070313 02/07/08 Corporate Securities Law of 1968 Order for James Albert Sweeney II and BigCo-op, Inc. to desist and refrain from offering and selling unqualified securities, and making misrepresentations in the offer or sale of securities in violations of Corporations Code Sections 25110 and 25401.