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Securities Administrative Orders Issued

Signed copies of  Petitions for Order and Orders associated with the following persons or entities are available in the PDF format.


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Pivotpoint Advisors, LLC and John M. Norquay - Case No. S-228781(EX) – Following the issuance of a Summary Order on June 3, 2015, the Respondents petitioned for a hearing to void or modify the Summary Order. The Respondents subsequently agreed to the issuance of a Consent Order as final resolution. Respondents consented to an Order for violations of Wis. Stat. §551.301 for selling an unregistered promissory note and of Wis. Stat. §551.501(2) for omitting to state material facts necessary in order to make the statements, in light of the circumstances under which they were made, not misleading. The Respondents also violated various sections of the Wisconsin Administrative Code as it applies to registered investment advisors. Respondents are suspended for 30 calendar days, and shall pay restitution of $2,521.61.

Order was issued on January 14, 2016 and supersedes a prior Summary Order issued on June 3, 2015.


 

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