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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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Premier Funding & Investments LLC and David J Lambert - Case No. S-230624 (EX) – A Cease and Desist Order was issued against Premier Funding & Investments, LLC and David J Lambert for violation of Wis. Stats. § 551.41(2) by omitting to state material facts necessary in order to make the statements made, in the light of the circumstances under which they are made, not misleading.

Order issued March 24, 2016

 

Dine In 2Nite North America, Inc., Dine In 2Nite North America, LLC and Leo Kats - Case No. S-233571 (FX) – A Summary Order of Prohibition was issued against Dine In 2Nite North America, Inc., Dine In 2Nite North America, LLC and Leo Kats for violation of Wis. Stat. §553.21 by selling a franchise in Wisconsin without registering under Wis. Stat. Ch. 553 or being exempted under Wis. Stat. § § 553.23, 553.235 or 553.25 and violation of Wis. Stat. §553.41(5) for willfully representing to prospective franchisees that the franchise was registered in Wisconsin when that was not the case.

March 15, 2016.

 

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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