Securities Administrative Orders Issued - 2012

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.

HOLLAND FINANCIAL SERVICES LLC – – Case No. S-222961-LX - Petition for Order and Order of Suspension of Investment Adviser Registration, Conditions and Late Filing Fee issued against Holland Financial Services LLC for repeated disregard for the registration requirements of Chapter 551, Wis. Stats., knowingly submitting unfunded payments for registration fees and conducting business as an investment adviser while in violation of the registration requirements.

Orders were issued on January 26, 2012

Holland Financial Services LLC, Petition (PDF: 438 KB/ 2 pages)
Holland Financial Services LLC, Order (PDF: 205 KB/ 1 page)

CYNTHIA LYNN DREHMEL – Case No. S-220327(EX)- Petition for Order and Summary Cease and Desist Order against Cynthia Lynn Drehmel for misrepresentation in the offer of unregistered securities in violation of § 551.501(3), Wis. Stats.

Orders were issued on January 26, 2012

Cynthia Lynn Drehmel , Petition and Order (PDF: 749 KB/ 3 pages)
Exhibit #1 (PDF: 204 KB/ 1 page)
Exhibit #2 (PDF: 4 MB/ 32 pages)
Exhibit #3 (PDF: 194 KB/ 1 page)
Exhibit #4 (PDF: 457 KB/ 2 pages)

TREVOR G COOK, PATRICK J KILEY, OXFORD GLOBAL PARTNERS LLC, OXFORD GLOBAL ADVISORS LLC AND UNIVERSAL BROKERAGE FX MANAGEMENT LLC – Case No. S-210123 (EX)– Summary Order of Prohibition and Revocation was issued for violations of §551.21(1) and §551.41(2) , Wis. Stats., for misrepresentation in the offer and sale of unregistered securities.

Orders were issued on January 27, 2012

Trevor G Cook, Patrick J Kiley, Oxford Global Partners LLC, Oxford Global Advisors LLC and Universal Brokerage FX Management LLC , Petition (PDF: 1 MB/ 5 pages)
Trevor G. Cook, Order (PDF: 271 KB/ 2 pages)
Patrick J. Riley, Order (PDF: 271 KB/ 2 pages)

TIMOTHY PATRICK BARRY – Case No. S-216424(EX) – Summary Order of Prohibition and Revocation was issued for the violation of §551 Wis. Stats., for misrepresentation and omission of the offer and sale of securities.

Orders were issued on January 26, 2012