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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.


See the Archives below.


Lawrence Energy LLC, Kenneth P Lawrence and Robert Shaddix - Case No. S-222744 (EX). Summary Cease and Desist Order was issued against all respondents for violation of Wis. Stat. § 551.301 by offering and selling unregistered securities in Wisconsin. Kenneth P Lawrence and Robert Shaddix also violated Wis. Stat. §551.402(2) by transacting securities business in Wisconsin as agents for issuer without registration. All respondents violated Wis. Stat. §551.501(2) by making misrepresentations and/or omissions in connection with the offer and sale of securities in Wisconsin.

Orders were issued on March 12, 2015


 

Extreme Franchise Corporation and James E Meyer - Case No. S-217437(EX). Orders of Prohibition (Consent) were issued for violation of Wis. Stat. §553.21 which states that no person may sell in Wisconsin any franchise unless the franchise has been registered under this chapter or is exempt under Wis. Stats. §§ 553.23, 553.235 or 553.25. Extreme Franchise Corporation and James E Meyer violated Wis. Stats. §553.27 by selling a franchise in Wisconsin without providing a copy of an offering circular to the prospective franchisee within at least ten business days prior to the execution by the prospective franchisee of any binding franchise or other agreement, or at least ten business days prior to the receipt of any consideration, whichever first occurs.

Orders were issued on March 4, 2015


 

Leland Energy, Inc., Leland Tennessee Holdings, Inc., Leland Energy Fund II, LLP, Stephen M Thompson and Michael A Rava - File No. S-225797 (EX). Summary Cease and Desist Orders were issued for violations of the Wisconsin Statutes Ch. 551 by Thompson and the Leland respondents by hiring an unregistered agent to offer unregistered securities in Wisconsin in willful violation of an Order of Prohibition and Revocation issued in 2002. Michael A Rava violated Wis. Stat. Ch. 551 by offering unregistered securities in Wisconsin as an unregistered securities agent, asking the Wisconsin resident to provide an address in a different state to avoid the restrictions of the prior order.

Orders were issued on February 17, 2015


 

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