2006 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.
James A. Nickels, File No. S-05122 (LX).
Consent Order of Suspension of Securities License for a period of 90
days effective as of July 1, 2007.
Order was issued on December 27, 2006.
Petromarc, Inc., David D. Swantner, and James E.
Fulp, Jr., File No. S-06172 (EX). (Three) Consent Orders
of Prohibition for offering or selling unregistered securities through
unlicensed agents.
Orders were issued on December 26, 2006.
Christopher Lee Jacke. File No. S-06075
(LX). Summary Order of Suspension of Securities Agent License for two
months, concurrent with the NASD suspension for a dishonest and unethical
business practice.
Orders were issued on December 26, 2006.
PAJ Investments, LLC; and Pamela Ann Johnson, File
No. S-06042 (EX). Summary Orders of Prohibition and Revocation for the
protection of the public.
Orders were issued on November 30, 2006.
US Real Estate Partners, Inc; Jules B. Fleder;
and Bernard R. Ware. File No. S-06118 (EX). Summary Orders
of Prohibition and Revocation for hiring unlicensed agents to sell
unregistered securities and for causing misleading statements to be
made in the selling of those securities.
Orders were issued on November 30, 2006
Michael M. Gosse, File No. S-06034 (EX).
Order Revoking Previous Summary Order of Prohibition and Revocation.
Order issued on November 14, 2006.
A.L. Brown, File No. S-06131(EX).
Order issued on November 13, 2006.
Investors Preferred Opportunities, Inc.; Kayatana
H. Harrison Daniels; Jules B. Fleder; Roger Sherman, File
No. S-06131(EX). Summary Orders of Prohibition and Revocation for selling
unregistered securities, using misleading statements, and failing to
respond to Division requests.
Order issued on November 6, 2006.
Ronald M. Breight Financial, LLC, File
No. S-05208 (LX). Decision and Order, after hearing, denying investment
adviser licenses to Ronald M. Breight and Ronald M. Breight Financial,
LLC, for transacting business without a license.
Order issued on September 15, 2006.
Fastbucks Franchise Corporation, File
No. S-06155 (FX).Summary Order of Suspension of Franchise Offering Registration
for failure to file financial statements with Division of Securities
that are in the format required by Ch. 553, Wis. Stats.
Orders issued on September 12, 2006.
Paul L. Clements., File No. S-06002 (L).Consent
Order for Censure of Securities Agent License for failure to record securities
transaction or get authorization from his broker-dealer.
Orders issued on July 11, 2006.
Brian S. Henkel and ING Financial Partners, Inc.,
F/K/A Locust Street Securities, Inc., File No. S-04192 (LX).Consent
Order of Censure for failing reasonably to supervise its agent to prevent
the making of unsuitable recommendations and for making unsuitable
recommendations.
Orders issued on August 28, 2006.
Craig Hueffner and Spaman Wholesale, Inc., DBA
Master Spas of Wisconsin., File No. S-03123 (EX). Summary
Order of Prohibition for unlicensed broker-dealer activities prohibiting
him from employing an unlicensed securities agent and ordering him
to resolve his civil liability for unlawful sales of securities. Summary
Order of Prohibition for employing unlicensed securities agent in Wisconsin
ordering it to resolve its civil liability for having done so.
Orders issued on August 28, 2006. Hearing requested by named parties, and Notice
of Hearing issued.
Accutax, LLC., File No. S-06100 (FX).
Consent order of prohibition selling an unregistered franchise and failing
to provide an offering circular to the prospective franchisee.
Orders issued on July 17, 2006.
William W. Block, Jr., File No. S-06091
(EX). Summary order of prohibition and revocation making misleading statements
in connection with the offer and sale of a security, failure to pay a
return on an investment, and for failure to provide the Division staff
with documents and information on his securities-related activities.
Orders issued on July 17, 2006.
James A. Nickels, File No. S-05122(LX).
Notice of Hearing and Prehearing Conference concerning possible revocation
of respondent's license for inducing trading in customers' accounts which
is excessive in size or frequency in view of the financial resources
and character of the account.
Hearing issued on June 22, 2006.
Ronald M. Breight and Ronald M. Breight Financial,
LLC, File No. S-05208(LX). Notice of Hearing and Prehearing
Conference concerning possible denial of the investment adviser license
of Ronald M. Breight Financial, LLC, and the investment adviser representative
license of Ronald M. Breight for acting as an unlicensed investment
adviser and unlicensed investment adviser representative.
Hearing issued on June 22, 2006.
David Riley and Keith Walls, File No.
S-04004 (FX). Summary order of prohibition and revocation for selling
an unregistered franchise and for use of misleading information.
Orders issued on June 22, 2006.
Christopher J. Diedrich, File No. S-05060
(LX).Consent order of prohibition and censure for borrowing money from
a customer and for trading without discretionary authority from a customer.
Orders issued on June 22, 2006.
Geo Securities, Inc., File No. S-06086
(LX).Summary order of revocation of securities broker-dealer license
for failure to respond to staff requests about the NASD suspension and
upon belief that respondent is no longer in business.
Orders issued on June 22, 2006.
Noventis, Inc, File No. S-06067 (EX).
Summary order of prohibition and revocation for offering unregistered
securities and failing to respond to staff requests.
Orders issued on June 22, 2006.
UBS Group, Inc, and Johnathan Ahlf, File
No. S-06071 (EX). Summary order of prohibition for selling an unregistered
franchise.
Orders issued on June 22, 2006.
David W. Bower, File No. S-05238 (EX).
Summary order of prohibition and revocation for selling unregistered
securities in the form of equity investments in Tatap, Inc., misrepresentation,
and failure to pay on the investment contract.
Orders issued on May 30, 2006.
Randall Landwehr and Michael M. Gosse,
File No. S-06034 (EX). Summary orders of prohibition and revocation for
misrepresentation in the sale of securities in the form of shares in
Monster Hall Raceway. In the Matter of Michael M. Gosse, a hearing has
been requested and a Notice of Hearing has been issued.
Orders issued on May 30, 2006.
Morgan F. Murphy, Jr; Morgan F. Murphy III, and
Robert D. Boyle, File No. S-05217 (EX). Consent orders of
prohibition for failure to state material facts in connection with
the sale of securities in the form of stock and/or membership units
in NII-JII Entertainment, LLC.
Orders issued on May 30, 2006.
Edward P. Perley, Jr., File No. S-06078-L.
Summary order of denial of securities agent license application for failure
to complete the application which he originally filed on January 3, 2006.
Orders issued on May 30, 2006.
Garagetek, Inc., File No. S-06074 (FX).
Summary order of suspension for filing incomplete documents with the
Division of Securities.
Order issued on May 15, 2006.
Midwestern Enterprises, Inc., d/b/a Inkrx and Inkrx.com;
and Adrian P. Anderson, File No. S-06004 (FX). Consent
orders of prohibition for sale of an unregistered franchise.
Orders issued on May 15, 2006.
Digital Entertainment Corporation and Ernest P.
Lamonica, File No. S-04220 (EX). Summary orders of prohibition
and revocation for sale of unregistered securities and making misleading
statements.
Orders issued on May 15, 2006.
Joseph J. Hrdlicka, File No. S-05213 (EX).
Summary order of prohibition for sale of unregistered securities, failure
to pay investors, and failure to respond to requests from the Division
of Securities. A Hearing Request was submitted by Respondent, but Respondent
later withdrew Hearing Request, such that the Summary Order remains in
effect as issued.
Order issued on May 15, 2006.
John R. Wustner, File No. S-06060 (EX).
Summary order of prohibition and censure for offering and selling unregistered
securities on behalf of Resorts International, for dishonest and unethical
business practices, for violation of a consent order, and for failure
to respond to requests from the Division.
Order issued on May 15, 2006.
John R. Wustner, File No. S-06064 (EX).
Summary order of prohibition and censure for offering and selling unregistered
securities in the form of viatical settlements for Mutual Benefits Corporation,
for dishonest and unethical business practices, for selling away, and
for failure to respond to requests from the Division.
Order issued on May 15, 2006.
D.E.I. Franchise Systems, Inc., File No.
S-06072 (FX). Summary order of suspension for filing an incomplete document
with the Division.
Order issued on May 04, 2006.
Success Trust and Holding, LLC and A. Paul Reynolds,
File No. S-06032 (EX). Summary order of prohibition and revocation for
the sale of unregistered securities and failure to provide requested
information to the Division.
Orders issued on May 04, 2006.
Donna M. Vogt, File No. S-03083 (LX).
Consent order of revocation of securities agent license for unsuitable
investments, lending money to customers, making misleading filing with
the DFI Securities Division, making misleading statements to clients,
and engaging in a course of business which operates as a fraud or deceit
upon her customers.
Order issued on May 03, 2006.
Romaine A. Quinn and J.A.P. Brokers DBA RJ
Quinn Trading, formerly known as Worldwide Commodity Trader LLC,
File No. S-05173 (EX). Summary Orders of Prohibition and Revocation
for selling unregistered securities, failure to disclose material facts
and failure to repay investments.
Orders issued on April 27, 2006.
Quadra Pay Land, LLC; Eavenson Family LLP; and
Michael L. Eavenson, File No. S-06021 (EX). Summary Orders
of Prohibition and Revocation - for sale of unregistered securities.
Orders issued on April 14, 2006.
John Wong, File No. S-03282 (LX). Summary
Order of Prohibition and Denial of Securities Agent License– for
dishonest and unethical practices, misrepresentations, failure to disclose
material facts.
Order issued April 14, 2006.
John M. Jesse, File No. S-06052L. Summary
Order of Revocation of Investment Adviser License – pursuant to
a finding that he is out of business.
Order issued April 14, 2006.
Welhouse & Associates, Inc, File No. S-05210(LX). Consent
Order of Censure for dishonest or unethical business practice.
Order issued April 03, 2006.
Travis W. Luedke and Exchange Growth League, File No.
S-06033(EX). Summary Orders of Prohibition and Revocation
of Exemptions for sale of unregistered securities.
Orders issued April 03, 2006.
International Fraud Assessment Agency (IFAA), File
No. S-06037(EX). Summary Order of Prohibition and Revocation
of Exemptions relating to offers to sell or purchase securities.
Order issued March 23, 2006.
Global Link Mergers and Acquisitions, File No. S-06037(EX). Summary
Order of Prohibition from offering to purchase securities.
Order issued March 17, 2006.
Stephen M. Sirianni, File No. S-05209-L. Stipulated
order suspending Sirianni for a period of 3 days from October 8, 2004,
for engaging in Private Securities Actions.
Order issued March 10, 2006.
Scott A. Riggs, File No. S-04093(EX). Summary Order
Revoking Previous Order; Undertaking by Scott A. Riggs to become licensed
in Wisconsin before making securities calls and to abide by Ch. 551.,
Wis. Stats.
Order issued March 8, 2006.
Bear Creek Mining, Richard E. Shell, and Patrick M. Mckeown,
Jr, File No. S-05185(EX). Summary Order of Prohibition and
Revocation for fraud in the offer and sales of investments in Bear
Creek Mining.
Orders issued February 28, 2006.
Anthony M. Frisone, File No. S-03245(EX). Summary Order
Revoking Previous Order based on information later obtained by the staff.
Order issued February 28, 2006.
Royce J. Raymond, File No. S-05061(LX); Findings of Fact, Conclusions
of Law, Decision and Order Revoking securities agent license for selling
unregistered securities, selling away from his employing broker-dealer,
failing to disclose another state's order against him; making untrue
statements of material fact, engaging in unfair business practices, and
defaulting on his hearing..
Order was issued February 22, 2006.
Foreign Exhange Capital Management a/k/a FX Capital Management,
Mitchell Ellis Pritchard, Kevin Matres, Errol Kaplan, File
No. S-05231(EX). Summary Orders of Prohibition against these parties
for the offer and sale of unregistered securities in Wisconsin in
the form of investment contracts in a foreign capital exchange and
interbank
marketing.
Orders issued February 2, 2006.
Joseph Franco. File No. S-05197(EX). Summary Order
of Prohibition and Revocation for the unlicensed sale of unregistered
securities in the form of investment contracts in Riverdale Energy Corporation.
Order issued: January 05, 2006
Riverdale Energy Corporation. File No. S-05197(EX).
Stipulated Order of Prohibition and Revocation for making or causing
to be made offers or sales of investment contracts in Riverdale Energy.
Order issued: January 05, 2006
Leroy Avery. File No. S-05220(EX). Stipulated Order
of Prohibition for the unlicensed sale of unregistered securities in
the form of viatical settlement contracts on behalf of Beneficial Assurance,
Ltd.
Order issued: January 05, 2006
Paul A. Bernier. File No. S-05202(EX). Summary Order
of Prohibition for the unlicensed sale of unregistered securities in
the form of viatical settlement contracts on behalf of Beneficial Assurance,
Ltd.
Order issued: January 05, 2006
John J. Schmitz. File No. S-05199(EX). Summary Order
of Prohibition for the unlicensed sale of unregistered securities in
the form of viatical settlement contracts on behalf of Beneficial Assurance,
Ltd.
Order issued: January 05, 2006
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