Press Releases
Administrative Orders Issued
Weekly Securities Filings
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2004 Administrative Orders Issued
(Securities)
Signed copies of Petitions for Order and Orders associated
with the following persons or entities are available in the PDF format.
Michael C. Ribich, Urbana, IL. File No. S-04280(LX).
An Order of Suspension of Securities Agent License was issued based on
failure to disclose material information to the Division.
Order issued: December 21, 2004
John R. McMaude, Austin, TX. File No. S-04283(LX). An
Order of Denial of Securities Agent Application was issued based on failure
to complete the application filed on October 1, 2004.
Order issued: December 21, 2004
David Licht, Boca Raton, FL. File No. S-04281(LX). An
Order of Denial of Securities Agent Application was issued based on failure
to complete the application filed on August 17, 2004.
Order issued: December 21, 2004
Lawrence J. Blomberg and Lemon Stop Associates, Inc. d/b/a Lemon
Stop, Inc., Madison, WI. File No. S-04206(FX). Summary Orders
of Prohibition and Revocation were issued based on allegations of fraud
in the offer and sale of an unregistered franchise.
Orders issued: December 21, 2004
Reef Partners, LLC, Reef Securities, Inc., Reef-Broussard Infield
Development Joint Venture #1, Reef Partners 2003-A Income Fund Joint Venture,
Michael J Mauceli, Robert H. Stanley, and Rick Berg, Richardson,
TX. File No. S-04052(EX). Summary Orders of Prohibition and Revocation
were issued based on allegations of fraud in the offer and sale of unregistered
securities and employing an unlicensed agent.
Orders issued: December 21, 2004
Espey Development LLC, Michael G. Espey, and Richard K. Ranspot,
Carrollton, TX. File No. S-04017(EX). Summary Orders of Prohibition and
Revocation were issued based on allegations of fraud in the offer of unregistered
securities by an unlicensed agent.
Orders issued: December 21, 2004
Investor Life Services, Inc. and Investor Protector, Inc.,
Lima, Ohio. File No. S-04138(EX). Consent Orders of Prohibition were issued
based on allegations of transacting business as unlicensed broker-dealers
and investment advisers.
Orders issued: December 3, 2004
Kevin D. Wells, Melville and Babylon Village, NY. File
No. S-04260(LX). An Order of Denial of Securities Agent Application with
issued based on failure to complete the application filed on July 27,
2004.
Order Issued: November 18, 2004
Cash Link Systems, Inc., Alan Levine, and Leland Balber,
Hollywood and North Miami, FL. File No. S-04207(EX). Summary Orders of
Prohibition and Revocation were issued based on allegations of fraud in
the offer and sale of unregistered securities by an unlicensed agent.
Order Issued: November 18, 2004
DBJ Investment Ventures, Inc. and Dustin Dwayne Johnson aka Dustin
Dwayne Gillenwater, Mesa and Phoenix, AZ. File No. S-04066(EX).
Summary Orders of Prohibition and Revocation were issued based on allegations
of fraud in the offer and sale of securities.
Order Issued: November 18, 2004
Anderson-Drake, Inc., King-Holt Ranch #3 & #4 Joint Venture,
King-Holt Ranch #5 & #6 Joint Venture, James R. Young Aka Jay Young,
David L. Cochran, Rustin Scott, Scott A. Riggs, Kenneth P. Lawrence, And
Jeremy R. Baker, Addison, TX. File No. S-04093(EX). Summary Orders
of Prohibition and Revocation were issued based on allegations of fraud
in the offer of unregistered securities by unlicensed agents.
A Hearing has been Requested.
Orders Issued: November 18, 2004
FMI Capital Advisors, Inc., Denver, CO. File No. S-04244(LX).
An Order of Denial of Broker-Dealer Application was issued based on the
firm’s failure to complete the application filed on October 17,
2003.
Order Issued: November 01, 2004
Dupont Securities Group, Inc., New York, NY. File No.
S-04233(LX). An Order of Revocation of Broker-Dealer License was issued
based on the firm’s expulsion from the NASD on July 2, 2004
Order Issued: October 22, 2004
Avalon & Associates, Link-1 Communications, Inc., Lincoln
A. Berridge, and Todd Groover, Newport Beach, CA and Las Vegas,
NV. File No. S-03073(EX). Orders of Prohibition and Revocation were issued
based on allegations of offers and sales of unregistered securities by
an unlicensed broker-dealer and agent..
Order Issued: October 08, 2004
Neal R. Clemens, Milwaukee, WI. File No. S-03026(LX).
An Order of Censure was issued based on allegations of unauthorized trading..
Order Issued: October 08, 2004
Thomas J. Steinmetz, Jr., Marshfield, WI. File No. S-02196(EX).
An Order of Prohibition and Revocation was issued based on allegations
of fraud in the offer and sale of securities..
Order Issued: October 08, 2004
Alton Securities Group, Inc., Alton, IL. File No. S-04216(LX).
An Order of Denial of Broker-Dealer Application was issued based on allegations
of failure to complete the application filed on August 9, 2002.
Order Issued: September 24, 2004
Gene B. Harbort, Madison, WI. File No. S-02081(LX).
An Order of Censure and Prohibition was issued based on allegations of
unauthorized trading and failing to update his CRD record.
A Hearing has been Requested.
Order Issued: September 24, 2004
FXTrade Financial, LLC and Gordon J. Vandeveld, Memphis,
TN and Glenview and Northfield, IL, WI. File No. S-04150(EX). Orders of
Prohibition were issued based on allegations of the offer and sale of
unregistered securities by an unlicensed agent.
Order Issued: September 24, 2004
Barton L. Harter, Oconomowoc, WI. File No. S-04159(LX).
An Order of Censure and Prohibition was issued based on allegations of
offers and sales of unregistered securities off the books and records
and without the approval of his employing broker-dealer.
Order Issued: September 24, 2004
Financial Investment Timing Co., Inc., Iron Mountain,
MI. File No. S-04212(LX). An Order of Denial of Investment Adviser Application
was issued based on allegations of failure to complete the application
filed on October 29, 2003.
Order Issued: September 24, 2004
John K. Wamugi, Madison, WI. File No. S-95413(EX). An
Order of Prohibition and Revocation was issued based on allegations of
offering and selling an unregistered promissory note.
Order Issued: September 24, 2004
William H. Tarrolly, Mequon, WI. File No. S-04054(EX).
An Order of Prohibition and Revocation was issued based on allegations
of fraud in the offer and sale of securities.
Order Issued: September 15, 2004
Paul H. Levinson, Madison, WI. File No. S-03238(FX).
An Order of Prohibition was issued based on allegations of fraud in the
offer and sale of an unregistered franchise.
Order Issued: September 15, 2004
Synergy Partners, Inc. and Jack T. Waite, Madison, WI
and Downers Grove, IL. File No. S-04048(EX). Orders of Prohibition and
Revocation were issued based on allegations of fraud in the offer and
sale of securities.
Order Issued: September 15, 2004
Black Lake Energy, Inc., Wayne A. Rand, Douglas L. Williams,
Eddie Gene Gilliam, and Chad D. Taylor, Rockwall, TX. File No.
S-04139(EX). Orders of Prohibition were issued based on allegations of
offering unregistered securities.
Order Issued: September 15, 2004
Rohan Bedi, Ronkonkoma, NY. File No. S-04213(LX). An
Order of Denial of Securities Agent License Application was issued based
on failure to complete the application filed June 4, 2004.
Order Issued: September 15, 2004
Investors Freedom Club, LC dba Venture Freedom Fund Ltd. and
Venture Freedom Foundation, H S D International, LLC, William Anthony
Folino, Tina N. Folino, Peter J. Matuch, and Cris F. Losey, Clearwater,
Tarpon Springs, and Tampa, FL. File No. S-04173(EX). Orders of Prohibition
and Revocation were issued based on allegations of fraud in the offer
and sale of unregistered securities.
Order Issued: September 15, 2004
Howard M. Birnbaum, Plainview, NY. File No. S-04209(LX).
An Order of Denial of Securities Agent License Application was issued
based on failure to complete the application filed April 6, 2004.
Order Issued: September 15, 2004
Texas Oil Equities, Inc. and William J. Fletcher,
Plano, TX. File No. S-03286(EX). Orders of Prohibition based on allegations
of offering unregistered securities.
Order Issued: August 26, 2004
Carlos A. Mayo, Garden City, NY. File No. S-04180(LX).
An Order of Denial of Securities Agent License Application was issued
based on failure to complete the application filed May 5, 2004.
Order Issued: August 26, 2004
North Texas Exploration, LLC, NTE Valentine #1 Joint Venture,
Larry W. Shopher, Jeffrey S. Goerges, Anders Tyreman, and James T. Gurgainers,
Richardson, TX. File No. S-04098(EX). Orders of Prohibition and Revocation
of Exemptions were issued, based on allegations of fraud in the offer
of unregistered securities by an unlicensed agent.
Order Issued: August 26, 2004
Burning Springs Energy Partners, Appalachian Energy Partners,
Martin R. Twist, Charles White, Drew Thomas, and Scott Pamida,
Louisville, KY and Jeffersonville, IN. File No. S-04122(EX). Orders of
Prohibition were issued, based on allegations of offers and sales of unregistered
securities by unlicensed agents.
Order Issued: August 26, 2004
Vincent J. Defilippo, West Paterson, NJ and Staten Island,
NY. File No. S-04132(EX). An Order of Denial of Securities Agent License
Application was issued, based on the failure to complete the application,
originally filed on April 4, 2004.
Order Issued: August 05, 2004
International Thermal Packaging, Inc., Dennis L. Thomas, Dennis
L. Brown, Lance N. Kerr, and Steven Wenberg, West Hollywood,
CA. File No. S-02043(EX). Orders of Prohibition were issued, based on
allegations of the offer of unregistered securities by an unlicensed agent.
Order Issued: August 05, 2004
Superstarz-N-Carz, LLC n/k/a RB Motorsports & Co.,LLC and
Alaric L. Bowers aka Rick Bowers, Milwaukee and Brown Deer, WI.
File No. S-03233(EX). Orders of Prohibition and Revocation of Exemptions
were issued, based on allegations of fraud in the offer and sale of an
unregistered promissory note.
Order Issued: August 05, 2004
Halo Enterprises, Inc., E-Media Advertising, Inc., Dale E. Merritt,
Jr., Kyle J. Sanford, J. R. Baggs, Patricia Cadwallader, S. Elex Dowe,
Kim E. Downs, Jeff Farmer, Tom Fluke, Alicia Godinez, Deta Hampsch, James
L. Hanemaayer, Chuck Jacobson, John T. Johnson, Ryan Johnson, Burt Kees,
Candise Lachance, Deanna Lawrence, Mark Martin, Jad Morris, Kathryn Owczarzak,
J. Phelps, Vanessa Radis, James Ray, Bob Rieser, Josh Sessions, Bruce
Snyder, Sue Soto, Jim Stevenson, Robert Suchecki, T. J. Travers, Mary
Ellen Wiliams, Paul Williams, Tim Woods, and Tim Yarberry, Phoenix,
AZ. File No. S-03193(EX). Orders of Prohibition were issued, based on
allegations of offers and sales of unregistered securities by unlicensed
agents.
Order Issued: July 16, 2004
Innovation Advisors, LLC, New York, NY. File No. S-04160(LX).
An Order of Denial of Broker-Dealer Application was issued due to failure
to complete the application which was filed on December 2, 2003.
Order Issued: July 20, 2004
Sunrise Energy, Inc. d/b/a Blue Marlin Energy, Inc., Shea C.
Silva, and Donald Lakin, Irvine, CA. File No. S-04113(EX). Orders
of Prohibition and Revocation of Exemptions were issued, based on allegations
of offers and sales of unregistered securities.
Order Issued: July 16, 2004
Light Management Systems Fund, LLC, Corporate Deposit Program,
Todd C. Smith, and Shelly J. Waddell, San Diego, CA. File No.
S-02072(EX). Orders of Prohibition and Revocation were issued, based on
allegations of offers and sales of unregistered securities and making
a false filing with the Division.
Order Issued: July 16, 2004
Intertech Corporation f/k/a Custom Fabricating of Racine, Inc.,
David A. Paczocha, Racine and Elkhorn, WI. File No. X-03039(EX).
Orders of Prohibition and Revocation of Exemptions were issued, based
on allegations of fraud in the offer and sale of securities and acting
as an unlicensed agent.
Order Issued: July 16, 2004
Universal Luxury Coaches, LLC, Scott W. Spor, and Steven G. Ross,
Sanford, FL and Boulder Junction, WI. File No. S-03153(EX). Orders of
Prohibition and Revocation of Exemptions were issued, based on allegations
of fraud in the offer and sale of unregistered securities by an unlicensed
agent.
Order Issued: July 14, 2004
Global Strategies dba Goldman Quintero & Associates, Joshua Adams,
and Paul Goldberg, San Diego, San Diego, CA. File No. S-04140(EX).
Orders of Prohibition and Revocation of Exemptions were issued, based
on allegations of offers and sales of unregistered stock by an unlicensed
broker-dealer and agents.
Order Issued: July 02, 2004
Manhattan Gold, Inc., James Maceo Ramey, and Yashare K. Ramey,
Kingston, Ontario, Houston and Galveston, TX. File No. S-04130(EX). Orders
of Prohibition and Revocation of Exemptions were issued, based on allegations
of fraud in the offer and sale of unregistered securities.
Order Issued: July 02, 2004
Edward T. Jones, Green Bay and Sturgeon Bay, WI. File
No. S-04020(EX). An Order of Prohibition and Revocation of Exemptions
was issued, based on allegations of fraud in the offer and sale of securities.
Order Issued: June 23, 2004
Clare William Willman, Iron Mountain, MI. File
No. S-04147(LX). An Order of Denial of Investment Adviser Representative
License was issued, based on allegations of unlicensed investment adviser
activity, as well as a 1998 Order stemming from allegations of fraud in
the offer and sale of unregistered securities and forgery.
Order Issued: June 23, 2004
Spellbinder Funding LLC, Dennis C. Healey, and Ron Carter,
Las Vegas, NV., Camarillo and North Hollywood, CA. File No. S-03266(EX).
Orders of Prohibition and Revocation were issued, based on allegations
fraud in the offer of unregistered securities by an unlicensed agent.
Orders Issued: June 23, 2004
Thomas W. Schmitz, Middleton, WI. File No. S-04078(EX).
An Order of Prohibition was issued, based on allegations of fraud in the
offer and sale of unregistered securities by an unlicensed investment
adviser.
Order Issued: June 10, 2004
Windsor Forex Trading Corp. aka Windsor Trading Group and Francis
Anthony Toscano aka Frank Toscano, Parkland, Coral Springs, and
Boca Raton, FL. File No. S-03245(EX). Orders of Prohibition were issued,
based on allegations of fraud in the offer and sale of unregistered securities
by an unlicensed agent and broker-dealer.
Orders Issued: June 10, 2004
National Financial Solutions LLC fka Credit Check LLC and Steven
A. Collins, DePere and Sobieski, WI. File No, S-03284(EX). Orders
of Prohibition and Revocation of Exemptions were issued, based on allegations
of fraud in the offer and sale of securities.
Orders Issued: June 10, 2004
Veriquest, Inc., Veriquest Marketing Strategies LLC, Cascade
Funds Administration, Inc., Diversified Assets LLC, Eric A. Marchand,
Elizabeth Bozeman, Mark Bozeman, George F. Holmes, Howard W. Kratz, Erick
J. Alexander, and Linda Oiknine, Carson City, NV, Tampa Port
Richey and Holiday, FL, and New York, NY. File No. S-03069(EX). Orders
of Prohibition and Revocation of Exemptions were issued, based on allegations
of fraud in the offer of unregistered securities by an unlicensed agent
and broker-dealer.
Orders Issued: June 10, 2004
Richard S. Strong, Strong Capital Management, Inc., Strong Investor
Services, Inc., Strong Investments, Inc., Thomas A. Hooker, and Anthony
J. D’Amato, Menomonee Falls, WI. File No. S-03209(LX). A
Consent Order of Revocation of Securities Agent and Investment Adviser
Representative Licenses and Undertaking was issued, based on allegations
of improper trading.
Orders Issued: May 21, 2004
- Petition (PDF: 138 KB/ 3 pages)
- Richard
S. Strong, Strong Capital Management, Inc., Strong Investor Services,
Inc., Strong Investments, Inc., Thomas A. Hooker, and Anthony J. D’Amato
Order (PDF: 395 KB/ 6 pages)
- Richard
S. Strong, Strong Capital Management, Inc., Strong Investor Services,
Inc., Strong Investments, Inc., Thomas A. Hooker, and Anthony J. D’Amato
Waiver (PDF: 220 KB/ 7 pages)
John P. Parker, Beaumont, TX. File No. S-04108(LX).
A Summary Order of Denial of Securities Agent License was issued, based
on failure to complete the application filed on January 9, 2004. The Respondent
has 30 days to request a hearing.
Orders Issued: May 03, 2004
Alpine Pictures, Inc., Advantage Music LLC, The Bridge Group,
Roland Carroll, Ryan J. Carroll, Rene Torres, James A. Jones, Donald Osborne,
Mark Hart, and Charles Overton, Burbank, CA. File No. S-04082(EX).
Summary Orders of Prohibition and Revocation of Exemptions were issued,
based on allegations of fraud in the offer of unregistered securities,
by unlicensed agents.
Orders Issued: May 03, 2004
Carey Financial Consultants, Inc., SmokeForLess, Inc., James
H. Hall III, Jerald R. Carey, Overland Park, KS and Ft. Worth,
TX. File No. S-02097(EX). Summary Orders of Prohibition and Revocation
of Exemptions were issued, based on allegations of fraud in the offer
and sale of unregistered securities, by an unlicensed broker-dealer and
agent. The Respondents have 30 days to request a hearing.
Orders Issued: May 03, 2004
Wellspring Capital Group, Inc. and Blake Aaron Prater,
Guilford, CT and St. Albans, VT. File No. S-03247(EX). Orders of Prohibition
and Revocation were issued, based on allegations of offers and sales of
unregistered securities to persons in Wisconsin.
Orders Issued: April 21, 2004
Douglas D. Hakes, Janesville, WI. File No. S-04100(LX).
A Summary Order of Denial of Securities Agent Application was issued based
on failure to complete the application submitted on August 6, 2003.
Orders Issued: April 07, 2004
Family Heritage Estate Portfolio, Inc., William L. Atkinson III,
James Robert Walker, Linda Maloney, Melinda Gerrell, Patricia Diaz, Cynthia
McCarroll, Kathleen Mack, Douglas M. Pickar, and John Wustner,
Pittsburgh, PA, Appleton, WI, and Tempe, AZ. File No. S-02260(EX). Orders
of Prohibition were issued, based on allegations of offers and sales of
unregistered securities to persons in Wisconsin by an unlicensed broker-dealer
and unlicensed agents.
Orders Issued: March 16, 2004
Ronald D. Johnson, James P. Seifrid, David J. Neary, and Douglas
M. Pickar, Hammond, Eau Claire, and Appleton, WI, and Aurora,
IL. File No. S-03150(EX). Orders of Prohibition were issued, based on
allegations of fraud in the offer and sale of unregistered securities
to persons in Wisconsin by unlicensed agents.
Orders Issued: March 16, 2004
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