2007
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.
J&M Developers, LLC, and Lernie C. Jones;File
No. S-06124(EX). Summary Orders of Prohibition and Revocation for the
sale of unregistered securities.
Orders were issued December 21, 2007.
Marco Glisson, File No. S-06070(EX). Summary Order of Prohibition
for unlicensed sale of unregistered securities.
Order was issued December 7, 2007.
Mortgage and Buying Solutions, Inc., Sean Moriarity,
Richard Penuel, and
Joseph Revilla; File No. S-07084(EX). Summary Orders of Prohibition for
unlicensed
sales of unregistered securities.
Orders issued November 29, 2007.
William A. Forkner, File No. S-07089(EX). Summary Order
of Prohibition for the sale of
an unregistered security and failure to respond to the Division.
Order issued November 29, 2007.
Ruttenberg & Associates Financial Marketing, Inc.,
and Mark I. Ruttenberg, File No. S-05237(EX). Summary Orders of
Prohibition for unlicensed selling of an unregistered security (Universal
Lease for Yucatan Resorts).
Orders issued November 29, 2007.
CashLynx Investment and Eric C. Haataja; File No. S-07083(EX).
Summary Orders of Prohibition for the sale of unregistered securities.
Orders were issued November 20, 2007.
William J. Gilbert; File No. S-07132(EX). Summary Order
of Prohibition and Revocation for the sale of an unregistered security,
failure to state a material fact, and failure to respond to the division.
Order was issued November 20, 2007.
Prudential Investment Portfolios, Inc; File No. S-07098.
Consent Order of Prohibition and Assessment (of $5000) for offers and
sales of unregistered securities.
Order was issued November 20, 2007.
Thomas & Edwards Marketing, Inc., aka Thomas & Edwards
Marketing Corp; File No. S-05181(EX). Summary Order of Prohibition and
Revocation for unlicensed selling of unregistered securities.
Order was issued November 20, 2007.
Michael A. Roznowski, File No. S-07031(LX). Summary Order
of Censure and Prohibition for giving advice on individual stock transactions
and attempting to effect transactions in securities without having taken
the series 7 exam.
Order was issued on November 12, 2007.
Jason R. Fuller, Renee Fuller, Ronnie Fuller, American
Teddy Bear Association (ATBA),
and Renee’s Wonderful World of Teddy Bear Puppies; File No. S-07092(FX).
Summary Orders of Prohibition and Revocation for selling an unregistered
franchise.
A hearing was requested and a Notice of Hearing has been issued
Order was issued on November 12, 2007.
J.V. Resources, LLC, John H. Vance, Matthew G.
Rossini, and Christopher Fraley; File No. S-06188(EX).
Summary Orders of Prohibition. for unlicensed selling of unregistered
securities.
Orders were issued November 9, 2007.
Hoon San “Martin” Chia, File
No. S-07079 (EX). Summary Order of Prohibition and Revocation for offer
and sale of unregistered
securities.
Order was issued November 2, 2007.
Mark A. Phillips, File No. S-07124 (EX). Consent Order
of Prohibition and Revocation prohibiting the sale of unregistered securities.
Orders issued October 19, 2007.
Northstar Energy, Inc., Larry M. Koonce, Paul M
Esposito, Jr., and Travis Catura; File No.S-07108(EX). Summary
Orders of Prohibition for unlicensed sale of unregistered security.
Orders issued October 10, 2007.
Spaman Wholesale, Inc., dba Master Spas of Wisconsin,
File No. S-03123(EX). Consent Order of Prohibition and Revocation against
the sale of unregistered securities and revoking previous orders against
Spaman Wholesale, Inc. dba Master Spas of Wisconsin, and Craig Hueffner.
Order issued October 9, 2007.
Brookstreet Securities Corp, File No.
S-07114 (LX) – Summary
Order of Revocation of Broker-Dealer License upon information and belief
that Brookstreet is no longer in business.
Order issued October 4, 2007.
Chad W. Snell - Notice of Revocation -
Investment Advisor License revoked for failure to resolve state tax delinquency.
Issued August 20, 2007.
Neon, LLC, Lynette K Hartman, Richard L. Hartman,
and Brian Augenstein; File No. S-07085(EX).
Consent Orders of Prohibition against unlicensed sale of unregistered
securities.
Orders were issued on September 07, 2007.
Oil & Gas Managing Partners, Corp., Michael Dannelly,
and Glen McCall; File No. S-07076(EX); Summary Orders of Prohibition
and Revocation for offering unregistered securities for sale in Wisconsin,
for failing to disclose a material fact, and failing to respond to
the Division.
Orders were issued on August 15, 2007.
Elite Marketing Network, LLC; Net Revenue Systems,
LLC; Mark Jackett; Charles V. Herin; Steve Yagudayeu; and Robert Contreras,
File No. S-07024(EX). Summary Orders of Prohibition and Revocation for
unlicensed selling of unregistered securities in Wisconsin (all respondents);
for hiring unlicensed agents (Elite and Jackett); and for failing to
respond to the Division (all respondents).
Orders were issued on August 15, 2007.
Dennis Burkhartsmeier, Brenda Burkhartsmeier,
Mountain Manufacturing, Inc., Mountain Mudd, LLC, Mountain Manufacturing
Company, R/MM, LLC, and Coffee Cooperative Association a/k/a/ The Coffee
Cooperative, Inc.; File No. S-05102 (FX) – Seven Summary
Orders of Prohibition for selling an unregistered franchise in Wisconsin.
Orders issued July 27, 2007.
Mark R. Anderson, File No. S-06181(EX)
- Summary Order of Prohibition
and Revocation for making an untrue statement in connection with the
offer and sale
of securities.
The Order was issued on July 5, 2007.
Raymond James Financial Services, Inc. File
No. S-05127(LX) – Consent
Order of Censure, Prohibition, and Assessment for failure to supervise
their securities agents that made unsuitable recommendations for customers,
lent money to a customer, filed false or misleading statements with the
Division, engaged in fraudulent activity, and induced excessive trading
in customers’ accounts.
Order issued June 26, 2007.
James A. Nickels; File No. S-05122(LX) – Revised
Summary Order of Suspension for making unsuitable recommendation to customers,
inducing excessive trading in customers’ accounts, and engaging
in fraudulent activity.
Order issued June 26, 2007.
Mutual Benefits Corp., Peter Lombardi, Joel Steinger
aka Joel Steiner, and Leslie Steinger aka Leslie Steiner. File
No. S-07029(EX). Summary Orders of Prohibition and Revocation for having
unlicensed agents
selling unregistered viatical securities, failing to disclose material
facts, misrepresenting facts, and making untrue statements.
Order issued May 23, 2007
David S. Mesunas, File No. S-06164(LX). Consent Order of
Censure for transacting discretionary trading in a customer’s account
without prior written discretionary authority from the customer.
Order issued May 23, 2007
Interstar Management, Ltd; Garry J. Milosevich;
and Daniel T. Tepoel. File No. S-05035(EX). Summary Orders
of Prohibition and Revocation for unlicensed selling of unregistered
securities and failure to respond
to the Division
Order issued May 04, 2007
Progressive Home Services, Inc, dba IPM Realty,
and Investment Properties of Minnesota;
James W. Abbott, and Joseph A. Cole. File No. S-06180 (EX).
Summary Orders of Prohibition
and Revocation for the sale of unregistered securities making untrue
statements of material
fact and failing to respond to Division requests.
Order issued April 13, 2007
Clutterbusters Franchising, Inc. File
No. S-05189 (FX). Summary Order of Suspension for filing
an incomplete registration application with the Division.
Order issued April 13, 2007
Duane C. Boechler. File No. S-07034(EX). Summary Order of Prohibition
and Revocation for
unlicensed selling of unregistered securities and violation of sec. 551.41,
Wis. Stats.
Order issued April 13, 2007
Spaman Wholesale, Inc,, dba Master Spas of Wisconsin
and Craig Hueffner. File No. S-03123(EX). Summary Orders of
Prohibition and Revocation for unlicensed selling of unregistered securities,
making misleading statements, and engaging in a business practice which
operates as a fraud. A hearing was requested and a Notice of Hearing
has been issued.
Orders, based on First Amended Petition, were issued March 28, 2007.
David C. Rietz, File No. S-06189 (EX)
Consent Order of Prohibition and Revocation for violating the anti-fraud
provision of
sec. 551.41(3), Wis. Stats; for transacting business as an unlicensed
investment adviser in violation of sec. 551.53(3), Wis. Stats.;
and failing to respond to the Division’s requests for information.
Order issued March 5, 2007
Evergreen Land Trust, Evergreen Investment Group,
LLC, and Brian E. Bath; File No. 06184 (EX) Summary Order
of Prohibition and Revocation for the sale of unregistered securities
and for engaging in an act, practice or course of business which
operated as a fraud upon the investors.
Order was issued March 5, 2007.
Kevin L. Reiss, also known as Rocky Barts;
File No. S-06199 (EX) Summary Order of Prohibition and Revocation for
unlicensed
sales of unregistered securities.
Order was issued February 19, 2007.
Wachovia Capital Markets, LLC, File No.
S-06146 (LX). Administrative Consent Order was issued as part of the
national research
analyst conflicts of interest settlements. The firm paid a civil monetary
penalty of $407,491 to the State of Wisconsin.
The Order was issued on February 13, 2007.
Aaron E. Applewhite and National Investment
Trust, LLC, a/k/a AFG and AFG & Co; File No.
S-06175 (EX). Summary Orders of Prohibition and Revocation for the
unlicensed selling
of unregistered securities.
Orders were issued on February 8, 2007.
Jeffrey John Miller, File No. S-05034
(EX) – Summary Order of Prohibition and Revocation for unlicensed
securities sales, fraud, and mail fraud..
Order was issued January 29, 2007.
Nina Louise Kienzle, File No. S-04059 (EX) – Summary
Order of Prohibition and Revocation for unlicensed sales of unregistered
securities and failure to provide disclosure.
Order was issued January 29, 2007.
Property Lease & Management, LLC; Wisdom Development
Group, LLC;
and VU H. “Vinh” LE, File No. S-06168 (EX) – Consent
Orders of Prohibition and Revocation for unlicensed selling of unregistered
securities, employing an unlicensed agent, and making an untrue statement
of material fact.
Orders were issued January 29, 2007.
Johnny R. Adams and Johnny on the Spot,
LLC; File No. S-06119 (FX). Consent Orders (2) of Prohibition
and Revocation for making untrue statements and failing to state a
material fact.
Orders were issued January 12, 2007.
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