Administrative Decisions —Z

Respondents OAH Decision Decision's Effective Date Law Description
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.
Zupan, Paul 2008050496 12/12/08 California Finance Lenders Law and Corporate Securities Law of 1968

Order to revoke Finance lender and broker Licenses and to bar from any position of employment, management or control of any Finance lender, pursuant to California Financial Code sections 22101, 22108, 22169, and 22714 and Title 10 of the California Code of Regulations, sections 1409 and 1422.

Order to bar from any position of employment, management or control of any investment adviser, broker-dealer or commodity adviser pursuant to Corporations Code sections 25232, 25232.1, 25245, and 25401. See other actions