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Securities Administrative Orders IssuedSigned 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.
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.
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.
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
Roman H. Claas of Menomonee Falls, WI;
File No. S-08019(EX).
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..
Multiple One Group, Inc., aka Guardian International Travel,
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.
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.
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.
Discovernet.com, Inc. and William H. Gray;
File No. S-07100 (EX).
Consent Orders of Prohibition for offer or sale of unregistered securities.
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.
American Teddy Bear Association; Renee’s
Wonderful World of Teddy Bear Puppies; S-07092 (EX). Summary
Orders Revoking
James M. Gedlen, File No. S-07157(EX).
Summary Order of Prohibition and Revocation for the sale of an unregistered
security.
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.
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