You are here:   

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.


Success Trade Securities Inc. - File No. S-230460(LX) Order of Revocation and Permanent Bar issued pursuant to Wis. Stats. §537.412 and Wis. Administrative Code §DFI-Sec. 4.09, after the broker dealer was expelled from membership by FINRA.

Orders were issued on July 1, 2014


 

Heartland Homebuyers, LLC and Helen Lukic - File No. S-222055(EX) – Prohibition and Revocation Orders (Consent) were issued for violations of Wis. Stat. §551.21, as the promissory notes were not registered with the Division for offer and sale in Wisconsin. Lukic never registered with the Division as an agent for issuer, in violation of Wis. Stat. §551.31(1). Respondents also violated Wis. Stat. §551.41 by making misrepresentations and omissions in connection with the sale of securities. This Order consented to by Helen Lukic and Heartland Homebuyers LLC is a permanent bar from transacting securities business in the State of Wisconsin, pursuant to Wis. Stat. §551.57.

Orders were issued on May 29, 2014


 

A.J. Balfour & Group Incorporated, GlobalOne Financial, LLC, GlobalOne Financial, Inc, Joseph Leonard Allen, Roberta R Couri and Michael Jeffery Scott - File No. S-228326(EX) - Cease and Desist Orders were issued against all respondents for violations of Wis. Stats § 551.301, offering unregistered securities to investors in Wisconsin. Allen, Balfour, Scott and GlobalOne violated Wis. Stats. § 551.402 by employing an unregistered agent to represent them in Wisconsin. Couri violated Wis. Stats. § 551.402 by transacting business in Wisconsin as a securities agent without registration. All respondents violated Wis. Stats. § 551.501(2) by making material misstatements of material fact to the Wisconsin investors, and 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, in connection with the offer and sale of securities to persons in Wisconsin as set forth above.

Orders were issued on April 30, 2014


 

Plan Ahead Events, Inc. - File No. S-229573(FX)- A Consent Order of Prohibition was issued for violation of Wis. Stat. § 553.21. Plan Ahead Events, Inc was not registered with the Division when it sold two franchises in Wisconsin between March 8, 2011 and March 12, 2012.

Orders were issued on March 5, 2014


 

To: 2013 Securities Administrative Order Archive

To: 2012 Securities Administrative Order Archive

To: 2011 Securities Administrative Order Archive

To: 2010 Securities Administrative Order Archive

To: 2009 Securities Administrative Order Archive

To: 2008 Securities Administrative Order Archive

To: 2007 Securities Administrative Order Archive

To: 2006 Securities Administrative Order Archive

To: 2005 Securities Administrative Order Archive

To: 2004 Securities Administrative Order Archive

To: 2003 Securities Administrative Order Archive

To: 2002 Securities Administrative Order Archive

To: 2001 Securities Administrative Order Archive

To: 2000 Securities Administrative Order Archive

To: 1999 Securities Administrative Order Archive

To: 1998 Securities Administrative Order Archive