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.

Jeffrey D. Knickmeier, of McFarland, Wisconsin. File Number S-07133(EX). Order to Rescind Summary Order of Prohibition and Revocation dated February 25, 2008, relating to the sale of promissory notes. The new order is based on information provided to the staff by respondent.
Order issued April 28, 2008.

Petition Rescind (PDF: 343 KB/ 1 page)
Jeffrey D. Knickmeier Rescind Order (PDF: 266 KB/ 1 page)

Henry v. Schultz, of Neenah, Wisconsin. File Number S-08075-LX. Summary Order of Denial of Investment Adviser Licensing Application, pursuant to §551.34(1)(c), Wis. Stats., based on a felony conviction which constitutes a significant conflict of interest with the fiduciary duty of an investment adviser or investment adviser representative.
Order was issued April 28, 2008.

Petition (PDF: 365 KB/ 1 page)
Henry v. Schultz Order (PDF: 310 KB/ 1 page)

Timothy P. Barry, of Appleton, Wisconsin. File No. S-08054(LX). Consent Order of Censure for compensating a customer for losses incurred without the firm’s written authorization as well as other dishonest or unethical business practices in violation of DFI-Sec. 4.06(2)(i), Wis. Admin. Code and §551.34(1)(g), Wis. Stats.
Order was issued April 18, 2008.

Petition (PDF: 300 KB/ 1 page)
Timothy P. Barry Order (PDF: 233 KB/ 1 page)
Timothy P. Barry Waiver (PDF: 224 KB/ 1 page)

Universal One Club, LLC, of Las Vegas, NV, and Irvine, CA; Boniface B. Mvogo of Laguna Niguel, CA; and Francis F. Jao of Fullerton, CA. File No. S-07172(EX). Summary Orders of Prohibition were issued based on allegations
of the offer and sale of investment contracts in securities.
Orders were issued April 9, 2008.

Petition (PDF: 615 KB/ 2 pages)
Universal One Club, LLC Order (PDF: 368 KB/ 1 page)
Boniface B. Mvogo Order (PDF: 371 KB/ 1 page)
Francis F. Jao Order (PDF: 366 KB/ 1 page)

Roman H. Claas of Menomonee Falls, WI; File No. S-08019(EX).
Consent Order of Prohibition was issued based on the unlicensed offer or sale of investments in viatical settlements.
Order was issued April 9, 2008.

Petition (PDF: 473 KB/ 2 pages)
Roman H. Claas Order (PDF: 283 KB/ 1 page)
Roman H. Claas Waiver (PDF: 215 KB/ 1 page)

Jeffrey P Hertel, d/b/a Corporate Investment Advisors, of Milwaukee, WI; File No. S-07167(EX). Consent Orders of Prohibition were issued based on allegations of the unlicensed offer or sale of nvestment contracts in securities, the offer or sale of unregistered securities, and making untrue statements of material fact in connection with the offer or sale of securities..
Orders were issued April 4, 2008.

Petition (PDF: 979 KB/ 3 pages)
Jeffrey P Hertel, d/b/a Corporate Investment Advisors Order (PDF: 277 KB/ 1 page)
Jeffrey P Hertel, d/b/a Corporate Investment Advisors Waiver (PDF: 231 KB/ 1 page)

Multiple One Group, Inc., aka Guardian International Travel,
Swainson Hawke, and Riley E Fitzsimons. File No. S-08012(EX).
Summary Order of Prohibition against Riley E. Fitzsimons for
unlicensed selling of unregistered securities.
Order filed March 11, 2008.

Petition (PDF: 509 KB/ 2 pages)
Riley E Fitzsimons Order (PDF: 534 KB/ 2 pages)

Leonard E. Dunn; File No. S-08034(LX). Consent Order of Suspension of Securities Agent License for period of 10 business days for engaging in discretionary trading in a customer’s account without prior written permission.
Order filed March 03, 2008.

Petition (PDF: 354 KB/ 1 page)
Leonard E. Dunn Suspense Order (PDF: 252 KB/ 1 page)
Leonard E. Dunn Waiver (PDF: 241 KB/ 1 page)

David W. Knall; File No. S-08033 (LX). Summary Order of Suspension of Securities Agent License for twelve months in response to SEC consent order suspending his license and permanently enjoining him from insider trading.
Order filed February 27, 2008.

Petition (PDF: 329 KB/ 1 page)
David W. Knall Order (PDF: 314 KB/ 1 page)

Jeffrey D. Knickmeier, File No. S-07133 (EX). Summary Order of Prohibition and Revocation for selling an unregistered security and for fraud in the selling of the security in violation of § 551.41, Wis. Stats.
Order filed February 25, 2008.

Petition (PDF: 696 KB/ 2 pages)
Jeffrey D. Knickmeier Order (PDF: 517 KB/ 2 pages)

Discovernet.com, Inc. and William H. Gray; File No. S-07100 (EX). Consent Orders of Prohibition for offer or sale of unregistered securities.
Order filed February 13, 2008.

Petition (PDF: 479 KB/ 2 pages)
Discovernet.com, Inc. Order (PDF: 260 KB/ 1 page)
Discovernet.com, Inc. Waiver (PDF: 264 KB/ 1 page)
William H. Gray Order (PDF: 260 KB/ 1 page)
William H. Gray Waiver (PDF: 251 KB/ 1 page)

Jason R. Fuller, Renee Fuller, Ronnie Fuller; File No. S-07092 (EX). Summary Orders of Prohibition and Revocation (Amended) for offering unregistered franchise, failure to provide offering circular, and making misleading statement.
Order filed February 5, 2008.

Petition (PDF: 954 KB/ 3 pages)
Jason R. Fuller Order (PDF: 533 KB/ 2 pages)
Renee Fuller Order (PDF: 533 KB/ 2 pages)
Ronnie Fuller Order (PDF: 534 KB/ 2 pages)

American Teddy Bear Association; Renee’s Wonderful World of Teddy Bear Puppies; S-07092 (EX). Summary Orders Revoking
Previous Orders because it was found that these two entities did not actually exist.
Order filed February 5, 2008.

Petition (PDF: 954 KB/ 3 pages)
American Teddy Bear Association Revoking Order (PDF: 314 KB/ 1 page)
Renee’s Wonderful World of Teddy Bear Puppies Order (PDF: 324 KB/ 1 page)

James M. Gedlen, File No. S-07157(EX). Summary Order of Prohibition and Revocation for the sale of an unregistered security.
Order filed January 11, 2008.

Petition (PDF: 95 KB/ 2 pages)
James M. Gedlen Order (PDF: 68 KB/ 2 pages)

Paul A. Treloar, Integrity Investors, LLC, and Freddie M. Carson a/k/a Marshall Carson; File No. S-06089(EX). Consent Orders of Prohibition and Revocation for sales of unregistered securities.
Orders were issued January 11, 2008.