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2002 Administrative Orders Issued (Securities)

Signed copies of  Petitions for Order and Orders associated with the following persons or entities are available in the PDF format.

Beginning June, 2002, all of the documents associated with an order can be accessed from this page. For orders entered prior to this, the following instructions still apply:

  • Use the appropriate link below to view the Petition for Order.
  • The Order (or Orders) associated with that Petition can be accessed by using the links (red rectangles) within the Petition
  • For Orders issued on or after November 25, 1998, the Waiver associated with an Order can be accessed by using the links (green rectangles) within the Orders.

 

TAG Transport, Inc. and Robert Westly Camacho, Janesville and Milton, WI. File No. S-02206(EX). Orders of Prohibition and Revocation of Exemptions were issued based on allegations of fraud in the offer and sale of an oral investment contract.
Orders Issued: December 20, 2002

Eastern Energy Corporation, William Champion, Donald Bradley Shultz, and Mark Kroman, Bowling Green, KY. File No. S-02179(EX). Orders of Prohibition were issued based on allegations of the offer and sale of unregistered membership interests in oil and gas wells by unlicensed agents.
Orders Issued: December 13, 2002

Hillbilly Oil Exploration, LLC, US Petroleum LLC, Donald Baker, Jerry Garland, Karla K. Sutton, Paul McHugh, and Donna M. Baker, Albany and Monticello, KY. File No. S-02111(EX). Orders of Prohibition were issued based on allegations of offering working interests in oil and gas wells.
Orders Issued: December 10, 2002

Jack Homer Paulsen, Harold Lee Paulsen, Chad Irving Mishleau, Neil Irving Mishleau, and North American Resources, Inc., DePere and Medford, WI and Independence, KS. File No. S-01063(EX). Orders of Prohibition and Revocation of Exemptions were issued based on allegations of the offer and sale of an investment in a fund for the purpose of developing oil and gas leases and the violation by Paulsen of previously issued Administrative Orders.
Orders Issued: December 10, 2002

Mid-Ohio Securities Corp., Elyria, OH. File No. S-02242(LX). An Order of Denial of Broker-Dealer Application was issued based on the failure to complete the application filed with the Division on February 5, 2002
Order Issued: December 10, 2002.

Vikram V. Naik, Brookfield, WI. File No. S-02150(LX). An Order of Censure and Prohibition and Suspension of Securities Agent License (45 days starting 12/1/02) was issued based on allegations of forging a customer’s signature. After suspension, the Respondent’s license will be subject to strict conditions imposed by the Division.
Orders Issued: November 27, 2002

John M. Wermuth, Elm Grove, WI. File No. S-00285(EX). The Respondent signed an Assurance of Discontinuance on November 4, 2002, and the Order of Prohibition previously issued on October 16, 2002, was vacated.
Assurance of Discontinuance Issued: November 05, 2002

Platinum Investment Corp., Rochester, NY. File No. S-02216(LX). An Order of Revocation of Broker Dealer License was issued based on failure to respond to staff requests for information concerning an investigation by the U.S. Securities & Exchange Commission and the suspension of the firm’s NASD membership.
Order Issued: November 27, 2002

Hans S. Wegesser, Menomonee Falls, WI. File No. S-02151(LX). An Order of Censure and Prohibition and Suspension (as of October 23, 2001) was issued summarily based on allegations of borrowing money from customers and failing to provide information reasonably requested by the staff.
Order Issued: October 22, 2002

Accelerated Benefits Corp. and Jess LaMonda, Orlando, FL. File No. S-99170(EX). Orders of Prohibition and Revocation were issued based on allegations of fraud in the offer and sale of unregistered investment contract securities in the form of viatical settlements.
Orders Issued: October 22, 2002

Medlink International, Inc. Michael F. Digiacco, Dominick A. Rossillo, Erik Ulvik, Chris Muncy, and Brent Allen, Newport Beach and Northridge, CA. File No. S-02050(EX). Orders of Prohibition and Revocation of Exemptions were issued based on allegations of fraud in the offer of unregistered stock by an unlicensed agent.
Orders Issued: October 17, 2002

First Harvest (Texas), Inc., Fazil Taleon, and Sandra S. Sullivan, Houston, TX and Mauston, WI. File No. S-00158(EX). Orders of Prohibition were issued based on allegations of offers and sales of unregistered investment contracts in the form of the foreign currency investments of Smartrend Financial Consultant Limited of Macau by an unlicensed agent.
Orders Issued: October 15, 2002

William H. Trucks, Madison, WI and Chicago, IL. File No. S-01299(EX). An Order of Prohibition and Revocation was issued based on allegations of fraud in the offer and sale of shares of stock in Second Chance for Life, Inc. and an evidence of indebtedness.
Order Issued: October 15, 2002

Fonefriend, Inc., CIC Productions, Inc., Gary A. Rasmussen, William B. Krusheski, Francois Van Der Hoeven, Thomas Kelly, John D. Wimsatt, Cary D. Arnold, and Steele Shannon, Carlsbad, Beverly Hills, and San Francisco, CA. File No. S-01251(EX). Orders of Prohibition were issued based on allegations of offers of unregistered stock by an unlicensed broker-dealer and agent.
Orders Issued: October 11, 2002

Denali International Company and William T. Bradley, La Jolla, CA and Englewood, CO. File No. S-01258(EX). Orders of Prohibition were issued based on allegations of offers and sales of unregistered stock by an unlicensed broker-dealer
Orders Issued: October 14, 2002

Lawrence S. Yanez and Creative Business Solutions, Inc., Las Vegas, NV. File No. S-02003(EX). Orders of Prohibition and Revocation of Exemptions were issued based on allegations of fraud in the offer and sale of unregistered stock.
Orders Issued: October 14, 2002

Blue Star Entertainment Llc, Blue Star Entertainment Unit Investment Trust, Howard S. Flamm, Steven Chase, and Keith Weiner, Sunrise, FL. File No. S-02069(EX). Orders of Prohibition and Revocation of Exemptions were issued based on allegations of fraud in the offer and sale of unregistered securities by an unlicensed agent; and making a false or misleading filing with the Division.
Orders Issued: October 14, 2002

711.TV Incorporated, Liam Hutchinson, Brian J. Marcus, and Andre Bishop, Ft. Lauderdale, FL, Hempstead, NY, and London, England. File No. S-02051(EX). Orders of Prohibition and Revocation of Exemptions were issued based on allegations of fraud in the offer of unregistered stock by an unlicensed agent.
Orders Issued: October 8, 2002

PJR Management, Inc. and Jerry Mehring, West Bend, WI. File No. S-02085(FX). The area franchisor for Dairy Queen/Brazier in Wisconsin, signed an Assurance of Discontinuance based on allegations of making impermissible and unsubstantiated earnings claims to potential franchisees.
Assurance of Discontinuance Issued: October 4, 2002

The Wolfcamp Fund, LLP, Leland Energy, Inc., Stephen M. Thompson, Robert D. Milligan, and Michael Ross, Beverly Hills, CA. File No. S-02100(EX). Orders of Prohibition and Revocation of Exemptions were issued based on allegations of offering unregistered investment contracts by an unlicensed agent.
Orders Issued: October 7, 2002

Granite Financial Group, Inc., San Diego, CA. File No. S-02183(LX). A Summary Order of Denial of Broker-Dealer Application was issued based on the firm's failure to complete the application filed on October 17, 2001.
Order Issued: October 7, 2002

Mark B. Sirianni, Schofield, WI. File No. S-00230(LX). Findings of Fact, Conclusions of Law, Opinion and Order were issued by default, resulting in the revocation of the Respondent's securities agent's license as of October 10, 2000. The action was based on findings of sharing in losses in the account of a securities customer without authorization by the employing broker-dealer.
Findings Issued: September 19, 2002

Prentice Securities, Inc. and Louis M. Kornman, New York, NY and Milwaukee, WI. File No. S-99290(LX). An Order of Censure and Prohibition (Prentice) and an Order of Censure, Prohibition and Suspension (Kornman; 21 days) were issued based on allegations of unsuitable recommendations, failure to provide customers with information concerning risk, and failure to supervise agents. Prentice was also ordered to voluntarily withdraw the registration of its branch office in Wisconsin.
Orders Issued: September 23, 2002

Torosay Properties, Inc., Torosay Golf Company, James G. Dudgeon, Madison, WI. File No. S-01057(EX). Consent Orders of Prohibition and Revocation of Exemptions were issued in the public interest and for the protection of investors. Dudgeon is currently serving a prison term for a felony theft conviction.
Orders Issued: September 20, 2002

Keyway Operating Company, Kevin M. Key, Ron E. Logan, and William D. Lewis, Lewisville, TX. File No. S-01234(EX). Orders of Prohibition were issued based on allegations of offers of unregistered working interests in an oil and gas well drilling project by an unlicensed broker-dealer and agent.
Orders Issued: September 11, 2002

Kuhns Brothers Securities Corporation, Stamford, CT. File No. S-02169(LX). A Summary Order of Denial of Broker-Dealer application was issued based on the firm's failure to complete its application filed on September 14, 2001.
Order Issued: August 26, 2002

Shirley A. Andersen, Middleton, WI. File No. S-99150(LX). Findings of Fact, Conclusions of Law, Opinion and Order issued after an administrative hearing, resulting in a 120-day suspension of securities agent license with provisions for future for-cause examination requirement, based on unsuitable recommendations to a relative and acting as his Power of Attorney after being notified that the Power of Attorney had been revoked.
Findings Issued: August 23, 2002

Vito R. Lomonaco, Bronx, NY. File No. S-00001(EX). A Consent Order of Prohibition and Revocation was issued based on allegations of offering and selling the unregistered common stock of Precious Stones Trading Worldwide, Inc. The Order also vacates and replaces the Summary Order of Prohibition and Revocation issued by the Division on December 21, 2001.
Order Issued: August 19, 2002

Gregory A. Anderson, Manitowoc, WI. File No. S-02002(EX). A Consent Order of Prohibition was issued based on allegations of offers and sales of unregistered interests by an unlicensed agent in so-called "high-yield trading programs" of Blackwolf Holdings LLC, owned by Gerald J. "Jay" Stock of Manitowoc, WI and Kevin W. Lynds of Wichita Falls, TX.
Order Issued: August 19, 2002

Edwards Development Corp., d/b/a Edwards Petroleum, Edwards Exploration Corp., LLC, Spencer E. Edwards, Doug Cooper, and Coley W. Chaudoin, Dallas, TX. File No. S-01232(EX). Orders of Prohibition were issued based on allegations of an offer of unregistered interests in an oil and gas well venture by an unlicensed agent.
Orders Issued: August 19, 2002

Beacon Hill Financial Corporation, Cohasset, MA. File No. S-02157(LX). A Summary Order of Denial of Broker-Dealer application was issued based on the firm's failure to complete its application filed on January 22, 2001.
Order Issued: August 13, 2002

AGC Capital Corporation, Robert S. Adams, and Joseph E. Gardner, Woodland Hills and Thousand Oaks, CA. File No. S-99260(EX). Orders of Prohibition were issued based on allegations of offers and sales of unregistered stock by an unlicensed broker-dealer and agent.
Orders Issued: August 9, 2002

The Sci-Fi Megaplex, Inc. (dba The Original Sci-Fi Café & Emporium, Inc.), Glenn K. Jackson, Raymond J. Talarico, and Gerald J. "Jay" Stock, Ft. Lauderdale, FL and Manitowoc, WI. File No. S-00262(EX). Orders of Prohibition and Revocation were issued based on allegations of offers and sales of unregistered common stock by Gerald Stock off the books and records of his employing broker-dealer, for which he was also censured by this Order.
Orders Issued: August 6, 2002

Russo Securities, Inc., William G. Brown, and Joseph Depergola, New York, NY and Houston, TX. File No. S-00180(LX). Orders of Prohibition were issued based on allegations of failure to carry out an investor's instructions (Brown), unauthorized trading (Depergola), failure to supervise, and failure to provide information reasonably requested by staff (Russo).
Orders Issued: August 1, 2002

Dale R. Machalleck, Racine, WI and Chicago, IL. File No. S-00280(EX). A Consent Order of Prohibition and Revocation of Exemptions was issued based on allegations of fraud in the offer and sale of unregistered securities. This Order replaces the Order of Prohibition and Revocation of Exemptions issued summarily on December 11, 2001.
Order Issued: July 30, 2002

Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, NY. File No. S-03102 (LX). An Administrative Consent Order was issued as part of the national research analyst conflicts of interest settlements. The firm paid a civil monetary penalty of $893,555 to the State of Wisconsin.
Order Issued: July 25, 2002

Michael J. Marshall, Burlington, WI. File No. S-01115(EX). A Summary Order of Prohibition was issued based on allegations of offers and sales of unregistered stock promissory notes.
Order Issued: July 22, 2002

George H. James, New York, NY. File No. S-02143(LX). A Summary Order of Denial of Securities Agent License Application was issued based on failure to complete the application filed February 8, 2002.
Order Issued: July 19, 2002

Inrock, Ltd., Carole A. Gavic, Charles Harlon Gavic, Mark H. Gavic, and Kenneth Baylor, Rockford, Loves Park, and Stillman Valley, IL. File No. S-01198(EX). Orders of Prohibition and Revocation of Exemptions were issued based on allegations of fraud in the offer and sale of unregistered promissory notes by an unlicensed agent.
Orders Issued: July 10, 2002

Barrie J. Rush, Port Washington, WI. File No. S-01076(LX). A Consent Order of Censure and Prohibition was issued based on allegations of unauthorized trading in the account of at least one person in Wisconsin during the year 2000.
Order Issued: July 10, 2002

Bruce England, Merrimac, WI. File No. S-01161(LX). A Consent Order of Prohibition and Censure was issued based on allegations of signing his customers' signatures on various documents that were used in connection with the offer and sale of securities and signing customer account forms as agent of record for an unlicensed securities agent.
Order Issued: July 2, 2002

Judy Koltun Jungen a/k/a Judy Jungen a/k/a Judy Koltun, Wauwatosa, WI. File No. S-02027(EX). A Consent Order of Prohibition was issued based on allegations of offers and sales of unregistered investment contracts in the form of viatical settlement contracts by an unlicensed agent.
Order Issued: July 1, 2002

New Millennium Management, Inc., Wendell S. Gates, Jr., Peter J. Zaccagnino III, and Bernard Peterson, Longwood, FL, Kissimmee, FL and Garnavillo, IA. File No. S-02084 (EX). Summary Orders of Prohibition and Revocation of Exemptions were issued based on allegations of fraud in the offer and sale of unregistered securities in the form of offshore bank investments by an unlicensed agent.
Orders Issued: June 27, 2002

John W. Huette, Sugar Grove, IL. File No. S-02098(EX). A Consent Order of Prohibition was issued based on allegations of offers and sales of unregistered investment contracts in the form of pay telephone leases of Phoenix Telecom LLC by an unlicensed securities agent to at least 88 persons in Wisconsin.
Order Issued: June 24, 2002

James T. O'Connor, Blue Bell, PA. File No. S-01037(EX). A Consent Order of Prohibition was issued based on allegations of offers and sales of unregistered securities in the form of viatical settlement investment contracts by an unlicensed agent.
Order Issued: June 21, 2002

International Funding Association and John S. Weston, Phoenix, AZ; Nassau, Bahamas; and Marathon, FL. File No. S-02078(EX). Summary Orders of Prohibition were issued based on allegations of fraud in the offer and sale of unregistered securities.
Orders Issued: June 21, 2002

Charles R. Kearns, Steven J. Reimer, Thomas J. Krueger, Brian G. Sumption, and Gary E. Zinck, Lebanon, OR; Brush Prairie, WA; Madison, Richland Center, and Lone Rock, WI. File No. S-00120(EX). Summary Orders of Prohibition against Kearns and Reimer and Summary Orders of Prohibition and Censure against Krueger, Sumption and Zinck were issued based on allegations of offers and sales of approximately $3.5 million of unregistered notes to 143 persons in Wisconsin by unlicensed agents during 1996 and 1997.
Orders Issued: June 21, 2002

William L. Boettcher, Walworth, WI. File No. S-00120(LX). Findings of Fact, Conclusions of Law, Opinion and Order issued after an administrative hearing resulting in a 45-day suspension of securities agent license with provisions for future supervision, based on a May 2001 revocation of insurance agent license.

Top Rank Business Associates, Inc. and Israel Fagbemi, Toronto, Ontario and Las Vegas, NV. File No. S-02077(EX). Summary Orders of Prohibition were issued based on allegations of offering unregistered securities.
Orders Issued: June 5, 2002



  • Adobe PDF Document Peter C. Hansen, Jr. (PDF: 91 KB/ 2 pages)
    Orders Issued: May 24, 2002
    Peter C. Hansen, Jr., Milwaukee, WI. File No. S-98253(EX). A Summary Order of Prohibition was issued based on allegations of offering and selling unregistered investment contracts in the form of agreements in a partnership to trade in securities by an unlicensed broker-dealer.

  • Adobe PDF Document John R. Gilling (PDF: 115 KB/ 3 pages)
    Orders Issued: May 24, 2002
    John R. Gilling, Brookfield, WI and Ft. Lauderdale, FL. File No. S-99308(LX). A Consent Order of Censure, Suspension, Prohibition and Revocation (of registration exemptions) was issued based on allegations of fraud in the offer and sale of unregistered promissory notes totaling over $2 million in face value to at least 50 people in Wisconsin.

  • Adobe PDF Document Roger A. Mathison (PDF: 52 KB/ 2 pages)
    Orders Issued: May 24, 2002
    Roger A. Mathison, Chippewa Falls, WI. File No. S-01058(EX). A Summary Order of Prohibition was issued based on allegations of offers and sales of unregistered securities in the form of viatical settlement contracts by an unlicensed agent.
    Respondent has asked for a hearing in the matter. The order is still in effect pending resolution of the hearing.

  • Adobe PDF Document The Gaming Factory, Inc. (PDF: 94 KB/ 2 pages)
    Orders Issued: May 24, 2002
    The Gaming Factory, Inc., Richard Onorato, Shanon T. Diem, James W. "Jim" Grant, and Bill Wollman, West Palm Beach, FL. File No. S-01278EX). Summary Orders of Prohibition and Revocation were issued based on allegations of offers and sales of unregistered securities by an unlicensed broker-dealer.

  • Adobe PDF Document Health Maintenance Centers, Inc. (PDF: 126 KB/ 2 pages)
    Orders Issued: May 13, 2002 and May 17, 2002
    Health Maintenance Centers, Inc. and Kevin L. Lawrence, Kevin James McCarthy, and Thomas J. Krueger Bainbridge Island and Bothell, WA, and Madison, WI. File No. S-01210(EX): Summary Orders of Prohibition (of further anti-fraud violations) were issued against Health Maintenance Centers, Inc. and Lawrence, and Orders of Prohibition and Revocation were issued against McCarthy and Krueger, based on allegations of fraud in the offers and sales of unregistered stock and promissory notes. Although Krueger was a Wisconsin-licensed securities agent at the time of some of the sales, he was not licensed as an agent for the Respondents. He was therefore also censured for transacting securities business off the books and records and without the permission of his employing broker-dealer. The firm and Lawrence were previously the subjects of Summary Orders of Prohibition and Revocation on January 16, 2002.

  • Adobe PDF Document Offshore Marketing Alliance (PDF: 70 KB/ 2 pages)
    Orders Issued: May 14, 2002
    Offshore Marketing Alliance and Warren English, Province of Ontario and Point Claire, Quebec. File No. S-01071(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of the offer and sale of unregistered investment contracts in the form of interests in a high yield investment program.

  • Adobe PDF Document Mountain Energy Corporation (PDF: 86 KB/ 2 pages)
    Orders Issued: May 14, 2002
    Mountain Energy Corporation, Michael L.Eichenberg, and Hank Ross, Kansas City, MO. File No. S-00200(EX). Summary Orders of Prohibition were issued based on allegations of the offer of unregistered investment contracts in the form of units of interest in a Natural Gas Sales and Buyback Program by an unlicensed securities agent.

  • Adobe PDF Document Zeu Vang (PDF: 107 KB/ 2 pages)
    Orders Issued: May 14, 2002
    Zeu Vang aka Hmongxer Varh, Oshkosh and Milwaukee, WI. File No. S-01027(EX). A Consent Order of Prohibition and Revocation was issued based on allegations of offers and sales of unregistered investment contracts in the form of investments in stocks in a partnership named Koomsiab by an unlicensed broker-dealer.

  • Adobe PDF Document Scott D. Fish (PDF: 125 KB/ 2 pages)
    Orders Issued: April 19, 2002
    Scott D. Fish, Verona, WI. File No. S-02041(EX). A Summary Order of Prohibition and Revocation was issued based on allegations of fraud in the offer and sale of securities.

  • Adobe PDF Document International Securities Corporation (PDF: 46 KB/ 1 page)
    Orders Issued: April 17, 2002
    International Securities Corporation, New York, NY. File No. S-02070(LX). A Summary Order of Denial of Broker-Dealer Application was issued based on the firm's failure to complete the application filed on June 19, 2000.

  • Adobe PDF Document HLH Securities, Inc. (PDF: 45 KB/ 1 page)
    Orders Issued: April 17, 2002
    HLH Securities, Inc., Newport Coast, CO. File No. S-02071(LX). A Summary Order of Denial of Broker-Dealer Application was issued based on the firm's failure to complete the application filed on July 23, 2001.


  • Adobe PDF Document CostaGold.com. (PDF: 86 KB/ 2 pages)
    Orders Issued: April 11, 2002
    CostaGold.com and Lawton Coonts, Roseau, Commonweath of Dominica, West Indies and Brookfield, WI. File No. S-01222(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of offers and sales of unregistered securities
    .
    All Respondents have asked for a hearing in the matter. The order is still in effect pending resolution of the hearing


  • Adobe PDF Document Phoenix Exploration LLC (PDF: 56 KB/ 1 page)
    Orders Issued: April 5, 2002
    Phoenix Exploration LLC, Sherman Haycraft, and Taylor L. Brannon, Garland, TX. File No. S-01281(EX). Summary Orders of Prohibition were issued based on allegations of the offer of unregistered securities in the form of working interests in oil and gas wells.

  • Adobe PDF Document Vanteq Securities Inc (PDF: 58 KB/ 2 pages)
    Orders Issued: April 4, 2002
    Vanteq Securities Inc., Stamford, CT. File No. S-02054(LX). A Summary Order of Denial of Broker-Dealer Application was issued based on the firm's failure to complete the application originally filed on February 14, 2001

  • Adobe PDF Document Rural Banc, Corp. (PDF: 78 KB/ 2 pages)
    Orders Issued: April 4, 2002
    Rural Banc, Corp. and Jerry Brovold, Eau Claire and Fall River, WI. File No. S-01304(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of fraud in the offer and sale of unregistered securities in the form of bonds.

  • Adobe PDF Document Pinpoint Petroleum, LLC (PDF: 114 KB/ 2 pages)
    Orders Issued: April 1, 2002
    Pinpoint Petroleum, LLC, Michael J. Lores Sr., Dan Volf, And Bradley Joseph Byram, Roswell, GA and Hallandale Beach, FL 33009. File No. S-01298(EX). Orders of Prohibition were issued based on allegations of offers of unregistered securities by unlicensed agents.

  • Adobe PDF Document Basin Oil & Gas Corporation (PDF: 79 KB/ 2 pages)
    Orders Issued: April 1, 2002
    Basin Oil & Gas Corporation, Thomas R. Watkins, Thomas Belding, and Kirk Turner, Lexington, KY. File No. S-01125(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of fraud in the offer of unregistered securities.

  • Adobe PDF Document Intercontinental Travel Services, Inc. (PDF: 68 KB/ 2 pages)
    Orders Issued: March 26, 2002
    Intercontinental Travel Services, Inc., Mark A. Thomas, and Todd W. Hanson, Minneapolis, MN, Apple Valley, MN, and Charlotte, NC. File No. S-01265(EX). Consent Orders of Prohibition were issued based on allegations of offers and sales of unregistered securities by an unlicensed agent to at least 11 persons in Wisconsin.

  • Adobe PDF Document C & R Marketing (PDF: 88 KB/ 2 pages)
    Orders Issued: March 25, 2002
    C & R Marketing, Robert D. Lanning, and Robyn I. Sachs a/k/a Robyn I. Millman a/k/a Robin I. Sachs a/k/a Robin I. Millman, Lantana and Pompano Beach, FL. File No. S-01273(EX). Consent Orders of Prohibition and Revocation were issued based on allegations of fraud in the offer of unregistered securities by an unlicensed agent and broker-dealer.

  • Adobe PDF Document Blackwolf Holdings, LLC (PDF: 94 KB/ 2 pages)
    Orders Issued: March 11, 2002
    Blackwolf Holdings, LLC, Gerald J. "Jay" Stock, and Kevin W. Lynds, Manitowoc, WI and Wichita Falls, TX. File No. S-02002(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of offers and sales of unregistered securities in the form of so-called "high-yield trading programs.

  • Adobe PDF Document Clare O. Carpenter (PDF: 954 KB/ 12 pages)
    Orders Issued: February 28, 2002
    Clare O. Carpenter, Rochester Hills, MI. File No. S-00272(EX). Findings of Fact, Conclusions of Law, Opinion and Order was issued as the result of an administrative hearing. A Summary Order of Prohibition had been issued on December 7, 2000, due to the Respondent's refusal to provide information reasonably requested by the staff. That Order was subsequently vacated on January 26, 2001, but remained in effect from December 7, 2000, until January 4, 2001, when the information was provided. The Respondent asked that both Orders be expunged and removed from his otherwise clean NASD record. The Hearing Officer affirmed the time period of effectiveness of the Order of Prohibition, and it will remain as a reportable disclosure on the agent's record.

  • Adobe PDF Document Anthony C. Fricano (PDF: 49 KB/ 1 page)
    Orders Issued: March 6, 2002
    Anthony C. Fricano, Brookfield, WI. File No. S-99138(LX). A Consent Order of Prohibition and Censure was issued based on allegations of the offer and sale of unregistered securities off the books and records and without the authorization of his employing broker-dealer.

  • Adobe PDF Document Lorraine H. Geiss (PDF: 93 KB/ 2 pages)
    Orders Issued: February 27, 2002
    Lorraine H. Geiss, Union Grove, WI. File No. S-01210(EX). A Consent Order of Prohibition and Censure was issued, based on allegations of the offer and sale of unregistered securities without the permission of and off the books and records of her employing broker-dealer.

  • Adobe PDF Document Shamrock Partners Ltd. (PDF: 99 KB/ 2 pages)
    Orders Issued: February 27, 2002
    Shamrock Partners Ltd., Media, PA. File No. S-02030(LX). A Summary Order of Denial of Broker-Dealer Application was issued based on unlicensed broker-dealer activity subsequent to the previous Summary Order of Prohibition and Denial of Broker-Dealer Application issued March 29, 1996, failure to supervise agents, failing to provide information reasonably requested by division, and NASD suspension for failure to comply with an arbitration award.

  • Adobe PDF Document Oasis Club (PDF: 70 KB/ 2 pages)
    Orders Issued: February 27, 2002
    Oasis Club, Vilnius, Lithuania. File No. S-01244(EX). A Summary Order of Prohibition and Revocation was issued based on allegations of the offer and sale of unregistered securities. The Respondent has previously operated under the name of The Oxford Savings Club, Manumit Unlimited, and/or Total Return on Investment.

  • Adobe PDF Document E.A.S., Inc. (PDF: 86 KB/ 2 pages)
    Orders Issued: February 27, 2002
    E.A.S., Inc., John Nichols, and Mike Carr, Fullerton, CA and Las Vegas, NV. File No. S-01230(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of the offer and sale of unregistered securities by an unlicensed agent.

  • Adobe PDF Document Resource Development International, LLC (PDF: 94 KB/ 2 pages)
    Orders Issued: February 27, 2002
    Resource Development International, LLC and David E. Edwards, Las Vegas, NV and Tacoma, WA. File No. S-02002(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of the offer and sale of unregistered securities.

  • Adobe PDF Document Maven Capital Corporation (PDF: 70 KB/ 2 pages)
    Orders Issued: February 27, 2002
    Maven Capital Corporation and Rodd Buckle, Nashville, TN. File No. S-99080(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of the offer and sale of unregistered securities.

  • Adobe PDF Document International Floral Network, Inc. (PDF: 127 KB/ 2 pages)
    Orders Issued: February 15, 2002
    International Floral Network, Inc., Gina Quah Hansen, Wayne Keith Hansen, Donald Cuming, and Al Hague a/k/a Bill Wilson, Vancouver, BC, Canada. File No. S-01183(EX). Summary Orders of Prohibition and Revocation were issued, based on allegations of the offer and sale of unregistered securities by unlicensed agents

  • Adobe PDF Document Montego Bay, Ltd. (PDF: 167 KB/ 3 pages)
    Orders Issued: February 15, 2002
    Montego Bay, Ltd., Kenneth M. Bauer, James D. Heim, and Timothy M. Nispel, Charlestown, Nevis, West Indies; Superior, Spooner, and Cameron, WI. File No. S-01061(EX). Summary Orders of Prohibition and Revocation were issued, based on allegations of the offer and sale of unregistered securities by unlicensed agents.

  • Adobe PDF Document Position Trading.Net LLC (PDF: 95 KB/ 2 pages)
    Orders Issued: February 5 and February 8, 2002
    Position Trading.Net LLC and Thomas K. Van Ahn, Oshkosh, WI. File No. S-02022(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of transacting business as an unlicensed investment adviser.

  • Adobe PDF Document Health Maintenance Centers (PDF: 96 KB/ 2 pages)
    Orders Issued: January 16 and February 7, 2002
    Health Maintenance Centers, Inc. and Kevin L. Lawrence, Bainbridge Island, WA. File No. S-01210(EX). Summary Orders of Prohibition and Revocation were issued, based on allegations of the offer and sale of unregistered securities and failure to respond to requests for information from Division of Securities staff.

  • In the Matter of Mannon L. Walters, Inc., Mannon L. Walters, Jr., James Brown, Betty Trabant, and Tonya R. Mead; File No. S-01065(EX), Summary Orders of Prohibition for unlicensed selling of unregistered securities.
    Orders Issued: Feburary 05, 2002
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  • Adobe PDF Document Mannon L. Walters, Inc. (PDF: 71 KB/ 2 pages)
    Orders Issued: February 5, 2002
    Mannon L. Walters, Inc., Mannon L. Walters, Jr., James Brown, Betty Trabant, and Tonya R. Mead, Evansville, IN. S-01065(EX). Summary Orders of Prohibition were issued, based on allegations of the offer of unregistered securities by an unlicensed agent.

  • Adobe PDF Document Ultimate Security Systems Corporation (PDF: 135 KB/ 2 pages)
    Orders Issued: January 25, 2002
    Ultimate Security Systems Corporation, DDR Consulting, Inc., James K. Cooper, Michael P. Rasmovich, Douglas D. Rucker, Patrick H. Edwards, and Jeff Carter, Irvine, Santa Ana, and San Diego, CA S-00196(EX). Summary Orders of Prohibition were issued, based on allegations of offers and sales of unregistered securities by an unlicensed broker-dealer and unlicensed agents.

  • Adobe PDF Document AES Offshore, Inc. (PDF: 102 KB/ 2 pages)
    Orders Issued: January 17, 2002
    AES Offshore, Inc., Offshore Profit Syndications, David G. Sewell, Jaime Mancilla, Guy D. Rowe, And Darlene Adams, Palm Desert, CA. File No. S-01066(EX). Summary Orders of Prohibition were issued, based on allegations of offers of unregistered securities by.an unlicensed agent.

  • Adobe PDF Document Steven D. Anderson (PDF: 77 KB/ 2 pages)
    Order Issued: January 9, 2002
    Steven D. Anderson, New Berlin, WI. File No. S-00266(EX). A Consent Order of Prohibition and Revocation was issued, based on allegations of fraud in the offer and sale of stock to at least 15 persons in Wisconsin.

  • Adobe PDF Document BacktoGolf, H. J. Ferrante, Mark Archambault, Jay Platt, and Marsha Backer (PDF: 73 KB/ 2 pages)
    Order Issued: January 3, 2002
    BacktoGolf, H. J. Ferrante, Mark Archambault, Jay Platt, and Marsha Backer, Carmel and Fresno, CA. File No. S-01208(FX). Orders of Prohibition were issued, based on allegations of the offer and sale of an unregistered franchise in Wisconsin.

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