Actions, Orders and Administrative Hearing Decisions

ACTIONS and ORDERS
This list contains the desist and refrain orders, civil actions, administrative actions, orders, and Administrative Hearing Decisions, issued by the Commissioner of Business Oversight* from January 1, 2002 to date, against individuals and firms under one or more of the laws within the jurisdiction of the Division of Corporations. If you need further assistance relating to these or other individuals and firms, please contact the Department's Consumer Services Office at 1-866-275-2677 or 916-327-7585.

Actions and Orders - Listed by Date
Actions listed by date is not a searchable database. You must return to this page and search for the entity name in order to view the actual orders.

Search the Actions and Orders
For information about penalties against a Mortgage Loan Originator, please visit the Nationwide Mortgage Licensing System and Registry at http://www.nmlsconsumeraccess.org/  

To view and print any of the actions or orders, connect to Adobe's website and complete "ALL" download steps; this is a one-time setup. After completion of the setup, you will have the ability to view and print ANY PDF file. You can download the PDF file to your system to view, or you can view online.

ADMINISTRATIVE HEARING DECISIONS
The Office of Administrative Hearings (OAH) hears contested cases related to the desist and refrain orders, administrative actions and orders issued under the jurisdiction of the Division of Corporations. Administrative Law Judges (ALJ) preside over OAH proceedings in a manner similar to civil court trials with each party given an opportunity to make an opening statement, call witnesses, offer other relevant evidence, and make closing arguments. The ALJs are fully independent of the agencies whose attorneys appear before them and are neutral fact-finders.

If you need further assistance or additional information regarding one or more of the persons listed as parties below, please contact the Department's Consumer Services Office at 866 275-2677.

To view and print the documents, connect to Adobe’s website and complete "ALL" download steps; this is a one-time setup. After completion of the setup, you will have the ability to view and print ANY PDF file. You can download the PDF file to your system to view, or you can view online.

            * On July 1, 2013 the Department of Corporations was merged with the Department of Financial Institutions to create the Department of Business Oversight.

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Consumer Alerts

The Department of Business Oversight issues the Consumer Alerts! relating to companies offering escrow services, lending services, or are falsely advertising that they are licensed by the Department of Business Oversight. Please note that these companies are not licensed by the California Department of Business Oversight to engage in business and may be operating in violation of California law.  If you need further assistance relating to these or other individuals and entities, please contact the Department's Consumer Service Center by telephone: 1-866-275-2677 or 916-327-7585.

Fairness Hearings

California Corporations Code section 25142 allows companies interested in issuing securities in a merger or conducting an exchange of outstanding securities to seek a "fairness" hearing as part of its application for qualification of the offer and sale of securities. By this process, applicants may seek an exemption from federal registration as provided by Section 3(a)(10) of the Securities Act of 1933 through a state-law hearing on the fairness of the terms and conditions of the proposed issuance or exchange of securities.

For information about Fairness Hearings, click here.
For the list of Fairness hearings, click here

Precedent Decisions

The Division of Corporations has designated several administrative decisions as precedent decisions. A precedent decision is a decision or part of a decision that contains a significant legal or policy determination of general application that is likely to recur. Click to see the list of the Division's Precedent Decisions.