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2001 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.

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.

 

  • Adobe PDF Document E-Views Safety Systems, Inc., Dennis Harshman, Paul J. Davidson A/K/A Jim Davidson, Dan Sharon A/K/A Ed Blair, and Lewis Davies (PDF: 106KB/ 2 pages)
    Order Issued: December 21, 2001
    E-Views Safety Systems, Inc., Dennis Harshman, Paul J. Davidson A/K/A Jim Davidson, Dan Sharon A/K/A Ed Blair, and Lewis Davies, Agoura Hills, CA. File No. S-00195(EX). Summary Orders of Prohibition and Revocation were issued, based on allegations of offers and sales of unregistered stock by unlicensed securities agents.

  • Adobe PDF Document Fargo Holdings, Inc., Michael I. Nnebe, Nelson C. Walker, Steve Wilson, and Richard Kiel (PDF: 85 KB/ 2 page)
    Order Issued: December 20, 2001
    Fargo Holdings, Inc., Michael I. Nnebe, Nelson C. Walker, Steve Wilson, and Richard Kiel, New York, NY. File No. S-99314(EX). Summary Orders of Prohibition and Revocation were issued, based on offers and sales of unregistered stock by unlicensed securities agents.

  • Adobe PDF Document Target Oil & Gas Corporation, Gas Finders, Michael Smith, Mercedes Smith, and Jeffrey Moore (PDF: 102 KB/ 2 page)
    Order Issued: December 20, 2001
    Target Oil & Gas Corporation, Gas Finders, Michael Smith, Mercedes Smith, and Jeffrey Moore, Danville, KY and Huntington Beach, CA. File No. S-01082(EX). Summary Orders of Prohibition and Revocation were issued, based on fraud in the offer of unregistered securities in the form of working interests in oil and gas wells by an unlicensed broker-dealer and agent.


  • Adobe PDF Document Donahue Securities, Inc. (PDF: 41 KB/ 1 page)
    Order Issued: December 13, 2001
    Donahue Securities, Inc., Cincinnati, OH. File No. S-01262(LX). A Summary Order of Revocation of Broker-Dealer License was issued, based on the fact that, on March 6, 2001, the National Association of Securities Dealers appointed a trustee to liquidate the firm's assets.


  • Adobe PDF Document World Ventures, Inc., Investors First, S.A., Raynerd B. Carson, Rafael A. Garcia, and Al Hague a/k/a Bill Wilson (PDF: 116 KB/ 2 pages)
    Order Issued: December 11, 2001
    World Ventures, Inc., Investors First, S.A., Raynerd B. Carson, Rafael A. Garcia, and Al Hague a/k/a Bill Wilson, Nanaimo and White Rock, B.C., Canada and San José, Costa Rica. File No. S-01173(EX). Summary Orders of Prohibition and Revocation of Exemptions were issued based on allegations offers and sales of unregistered securities in the form of common stock by an unlicensed broker-dealer and unlicensed agents and failure to provide information and documents requested by staff of the Division of Securities.

    Order Issued: April 22, 2002
    World Ventures, Inc. and Raynerd B. Carson, Nanaimo, British Columbia. File No. S-01173(EX). An Order Vacating Previous Order (Summary Orders of Prohibition and Revocation dated 12/11/01) was issued based on information received by the staff from the Respondents.

  • Adobe PDF Document Moxa Bee Vang a/k/a Bee Moxa Vang (PDF: 63 KB/ 2 pages)
    Order Issued: December 11, 2001
    Moxa Bee Vang a/k/a Bee Moxa Vang, Omaha, NB. File No. S-01264(EX). A Summary Order of Prohibition and Revocation of Exemptions was issued based on allegations of offers and sales of unregistered securities in the form of promissory notes and the failure to provide information and documents requested by staff of the Division of Securities.


  • Adobe PDF Document Health Perfect Imaging, Inc., Health Perfect Imaging Unit Invesment Trust, Eric Beltran, Frank E. Lovy, Don Kuster, Fred Rembert, and Ruben Gonzales (PDF: 141 KB/ 3 pages)
    Order Issued: December 11, 2001
    Health Perfect Imaging, Inc., Health Perfect Imaging Unit Invesment Trust, Eric Beltran, Frank E. Lovy, Don Kuster, Fred Rembert, And Ruben Gonzales, Fountain Valley, CA. File No. S-01095(EX). Summary Orders of Prohibition and Revocation of Exemptions were issued based on allegations of fraud in the offer of unregistered investment contract securities by unlicensed agents and making a false or misleading filing with the Division


  • Adobe PDF Document Espresso Express, Inc., Shadd Vickery, Patrick Albright, and Sallie Gold (PDF: 198 KB/ 4 pages)
    Order Issued: December 6, 2001
    Espresso Express, Inc., Shadd Vickery, Patrick Albright, and Sallie Gold, Boynton Beach and Lake Worth, FL. File No. S-01219(FX). Summary Orders of ere issued based on allegations of offering and selling an unregistered franchise to at least one person in Wisconsin.


  • Adobe PDF Document Quick Cash Advance, Inc., Quick Cash Advance of Miami, LLC, Cash Today USA, Kayco Promotions, Inc., Curtis J. Billups, John P. Squires, John W. Long, Mark Harrell, Tom Elias, Jason Dickey, and Michael Hollingsworth (PDF: 198 KB/ 4 pages)
    Order Issued: December 6, 2001
    Quick Cash Advance, Inc., Quick Cash Advance of Miami, LLC, Cash Today USA, Kayco Promotions, Inc., Curtis J. Billups, John P. Squires, John W. Long, Mark Harrell, Tom Elias, Jason Dickey, and Michael Hollingsworth, Tempe and Maricopa, AZ, Pompano Beach and Margate, FL. File No. S-00231(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of fraud in the offer of unregistered investment contract securities by an unlicensed broker-dealer and unlicensed agents.


  • Adobe PDF Document Cahoots Productions Inc, Blue Hill Avenue Film Partners Ltd., Jun Max Kirishima, Michael B. Erwin, Glenn Glasgow, and Rex Dale (PDF: 103 KB/ 2 pages)
    Order Issued: December 4, 2001
    Cahoots Productions Inc, Blue Hill Avenue Film Partners Ltd., Jun Max Kirishima, Michael B. Erwin, Glenn Glasgow, and Rex Dale, Beverly Hills, CA and Jacksonville, OR. File No. S-01013(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of fraud in the offer of unregistered limited partnership interests by unlicensed agents.


  • Adobe PDF Document Ellen M. Aleshire (PDF: 57 KB/ 1 page)
    Order Issued: November 21, 2001
    Ellen M. Aleshire, Antioch, IL. File No. S-01267(LX). A Summary Order of Denial of Securities Agent License Application was issued based on failure to complete the application originally filed on July 3, 2001.


  • Adobe PDF Document National Institute for Telecommunication Education Corp., Paul B. Kravitz, Hank Ross, Frank Fishman, Bud Fell, and Brad Berman (PDF: 162 KB/ 3 pages)
    Order Issued: November 20, 2001
    National Institute for Telecommunication Education Corp., Paul B. Kravitz, Hank Ross, Frank Fishman, Bud Fell, and Brad Berman, Davie, FL. File No. S-00263(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of fraud in the offer of unregistered common stock by unlicensed agents to persons in Wisconsin.


  • Adobe PDF Document Brookfield Securities, Inc (PDF: 57 KB/ 1 page)
    Order Issued: November 20, 2001
    Brookfield Securities, Inc., City of Industry, CA. File No. S-01268(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 December 12, 2000.


  • Adobe PDF Document U$A for Healthclaim$ and Craig Clark (PDF: 54 KB/ 1 page)
    Order Issued: November 1, 2001
    U$A for Healthclaim$ and Craig Clark, Ocala, FL. File No. S-98144(FX). Summary Orders of Prohibition were issued based on allegations of offering and selling an unregistered franchise to persons in Wisconsin.


  • Adobe PDF Document PayTel Communication Systems, Inc. (PDF: 111 KB/ 2 pages)
    Order Issued: October 18, 2001
    PayTel Communication Systems, Inc., CapTel Maintenance Services, Inc., IFG National, LLC, Slobodan Lunic, Scott R. Holmberg, Izabela A Reczynski, Gene A. Tyrrell, and Kevin M. Dechant, Chicago, IL and Sun City, AZ. File No. S-01242(EX). Summary Orders of Prohibition and Prohibition were issued based on allegations of offers and sales of unregistered investment contract securities by an unlicensed broker-dealer.

  • Adobe PDF Document Trade Partners, Inc. (PDF: 90 KB/ 2 pages)
    Order Issued: October 5, 2001
    Trade Partners, Inc., TPI Grand Trust, Thomas J. Smith, and Christine M. Zmudka, Grand Rapids, MI. File No. S-00267(EX). Summary Order of Prohibition were issued based on allegations of offers and sales of unregistered securities by an unlicensed broker-dealer employing unlicensed securities agents.

  • Adobe PDF Document Henry J. Littlesoldier (PDF: 88 KB/ 2 pages)
    Order Issued: September 27, 2001
    Henry J. Littlesoldier, Baraboo, WI. File No. S-01218(EX). A Summary Order of Prohibition and Revocation was issued based on allegations of fraud in the offer and sale of an unregistered investment contract.

  • Adobe PDF Document Phoenix Multimedia, Inc., n/k/a Digital Education Corp., Collectors International Exchange, Inc., William Cole Smith, Jr. a/k/a Cole Smith, Conrad E. Bonham, Mike Wilson, Melvin Lewis, Rosalyn Cohen Goldman, and Dean R. Morris (PDF: 121 KB/ 2 pages)
    Order Issued: September 27, 2001
    Phoenix Multimedia, Inc., n/k/a Digital Education Corp., Collectors International Exchange, Inc., William Cole Smith, Jr. a/k/a Cole Smith, Conrad E. Bonham, Mike Wilson, Melvin Lewis, Rosalyn Cohen Goldman, and Dean R. Morris, Los Angeles, CA., Hollywood Aventura and Ft. Lauderdale, FL. and Huntsville, AL. File No. S-00080(EX). Summary Orders of Prohibition were issued based on allegations of offers and sales of unregistered securities by an unlicensed broker-dealer and securities agent

  • Adobe PDF Document Tamarack Funding Corporation, Garry P. Isaacs, and Mark Chamberlain (PDF: 147 KB/ 3 pages)
    Order Issued: September 27, 2001
    Tamarack Funding Corporation, Garry P. Isaacs, and Mark Chamberlain, Branson, MO. File No. S-01114(EX). A Summary Order of Prohibition and Revocation was issued based on allegations of fraud in the offers and sales of unregistered securities by an unlicensed securities agent.


  • Adobe PDF Document Christopher L. Temple (PDF: 174 KB/ 3 pages)
    Order Issued: September 27, 2001
    Christopher L. Temple, Kalispell, MT and Spooner, WI. File No. S-01074(EX). Summary Order of Prohibition and Revocation was issued based on allegations of fraud in the offer and sale of unregistered securities by an unlicensed broker-dealer, and transacting business as an unlicensed investment adviser.

  • Adobe PDF Document World Cash Providers, Inc., World Cash Providers, LLC, Mobile Cash Systems, LLC, World Wireless Solutions a/k/a Wireless Express U.S.A., Inc., Judy A. Poulson, Kim Baudour Kriegler, and Gerald B. Johnson (PDF: 148 KB/ 3 pages)
    Order Issued: September 26, 2001
    World Cash Providers, Inc., World Cash Providers, Llc, Mobile Cash Systems, LLC, World Wireless Solutions a/k/a Wireless Express U.S.A., Inc., Judy A. Poulson, Kim Baudour Kriegler, and Gerald B. Johnson, Fresno, CA., Las Vegas, NV., Chandler, AZ, and Mesa, AZ. File No. S-01179(EX). Orders of Prohibition and Revocation were issued based on allegations of offers and sales of unregistered securities and employing unlicensed agents.
  • Adobe PDF Document Ronald E. Klos (PDF: 93 KB/ 2 pages)
    Order Issued: September 26, 2001
    Ronald E. Klos, West Bend, WI. File No. S-97136(EX). A Summary Order of Prohibition and Revocation was issued based on allegations of fraud in the offers and sales of unregistered securities to at least 40 persons in Wisconsin from May 2000 through 2001, while acting as an unlicensed securities agent for Leslie J. Hamilton, Jr. a/k/a John Halvorson and his business of Capital Collectibles.
  • Adobe PDF Document Leslie J. Hamilton, Jr. a/k/a John Halvorson (PDF: 92 KB/ 2 pages)
    Order Issued: September 26, 2001
    Leslie J. Hamilton, Jr. a/k/a John Halvorson, Mt. Charleston, NV. File No. S-97136(EX). A Summary Order of Prohibition and Revocation was issued based on allegations of fraud in the offers and sales of unregistered securities to at least 75 persons in Wisconsin from 1994 through 2001, both directly and through unlicensed securities agents for his business of Capital Collectibles.
  • Adobe PDF Document EYAL FARAG (PDF: 71 KB/ 2 pages)
    Order Issued: September 24, 2001
    Eyal Farag, Woodmere, NY. File No. S-01213(LX). Summary Order of Denial of Securities Agent License Application was issued based on failure to complete the application submitted May 25, 2001.
  • Adobe PDF Document International Business Consortium, Inc. and William L. Brotherton, Sr (PDF: 66 KB/ 1 page)
    Order Issued: September 24, 2001
    International Business Consortium, Inc. and William L. Brotherton, Sr., Ft. Collins, CO. File No. S-01137(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of offers and sales of unregistered securities.
  • Adobe PDF Document Investor's Advocate LLC (PDF: 51 KB/ 1 page)
    Order Issued: September 18, 2001
    Investor's Advocate LLC, Washington, DC and Houston, TX. File No. S-01206(LX). Summary Order of Revocation of Broker-Dealer License was issued based on the suspension of its membership in the NASD for failure to comply with a formal request to submit financial information and the fact that the firm appears to be out of business.
  • Adobe PDF Document ANDREW R. RAZZORE and JOHN T. PISAPIA (PDF: 61 KB/ 2 pages)
    Order Issued: September 17, 2001
    ANDREW R. RAZZORE and JOHN T. PISAPIA, Staten Island, NY. File No. S-00215(LX). Summary Orders of Prohibition were issued based on offers and sales of unregistered securities (Razzore) and failure to supervise (Pisapia).
  • Adobe PDF Document TASIN & COMPANY, INC. (PDF: 51 KB/ 1 page)
    Order Issued: September 6, 2001
    TASIN & COMPANY, INC., Hauppauge, NY. File No. S-01193(LX). Summary Order of Revocation of Broker-Dealer License was issued based on the suspension of its membership in the NASD for failure to comply with a formal request to submit financial information and the fact that the firm appears to be out of business.
  • Adobe PDF Document PANTA MANAGEMENT, INC. (PDF: 47 KB/ 1 page)
    Order Issued: August 31, 2001
    PANTA MANAGEMENT, INC., New York, NY. File No. S-01197(LX). Summary Order of Revocation of Broker-Dealer License was issued based on the suspension of its membership in the NASD for failure to file a quarterly focus report and the fact that the firm appears to be out of business.
  • Adobe PDF Document FOSTER OIL & GAS, WILLIAM H. FOSTER, JR., AND JAMES ROBERT "J. R."HUMPHREY (PDF: 81 KB/ 2 pages)
    Orders Issued: August 31, 2001
    FOSTER OIL & GAS, WILLIAM H. FOSTER, JR., AND JAMES ROBERT "J. R."HUMPHREY, Independence, KS and Tulsa, OK. File No. S-01111(EX). Consent Orders of Prohibition were issued based on allegations of offers of unregistered working interests in oil and gas wells by an unlicensed agent.
  • Adobe PDF Document ALAN T. RODRIGUEZ (PDF: 60 KB/ 1 page)
    Order Issued: August 13, 2001
    ALAN T. RODRIGUEZ, Western Springs, Illinois. File No. S-01177(LX). A Summary Order of Denial of Securities Agent License Application was issued based on allegations of failure to complete the application.
  • Adobe PDF Document GEORGE JOSEPH MARES, JR. (PDF: 57 KB/ 1 page)
    Orders Issued: August 13, 2001
    GEORGE JOSEPH MARES, JR., North Riverside, Illinois. File No. S-01175(LX). A Summary Order of Denial of Securities Agent License Application was issued based on allegations of failure to complete the application.
  • Adobe PDF Document GIDEON GROUP and TOM R. MILLER (PDF: 65 KB/ 2 pages)
    Orders Issued: August 13, 2001
    GIDEON GROUP and TOM R. MILLER, Big Bear Lake, CA. File No. S-00091(EX). Summary Orders of Prohibition and Revocation of Exemptions were issued, based on allegations of the offer of an unregistered investment contract in the form of a Venture Capital Agreement
  • Adobe PDF Document Marcus C. Kanahele (PDF: 29 KB/ 1 page)
    Orders Issued: July 18, 2001
    Marcus C. Kanahele, West Palm Beach, FL. File No. S-01078(EX). A Revised Order of Prohibition and Revocation was issued, replacing the Consent Order of Prohibition and Revocation issued June 8, 2001, which was subsequently discovered not to be the Order the parties had agreed to.
  • Adobe PDF Document Rittenhouse Trust Securities, Inc. (PDF: 43 KB/ 1 page)
    Orders Issued: July 18, 2001
    Rittenhouse Trust Securities, Inc., Radnor, PA. File No. S-01122(LX). A Consent Order of Assessment ($1,000) was issued based on allegations of unlicensed broker-dealer and agent activity.
  • Adobe PDF Document Houa A. Vang, Houa G. Vang, and Thai B. Vang (PDF: 98 KB/ 2 pages)
    Orders Issued: July 18, 2001
    Houa A. Vang, Houa G. Vang, and Thai B. Vang, Sheboygan, WI. File No. S-00257(EX). Summary Orders of Prohibition were issued based on allegations of offers and sales of unregistered investment contracts in an investment club (Vang Capital Management LLP) by unlicensed broker-dealers.
  • Adobe PDF Document Timothy Carnel Lewis a/k/a Christopher Long (PDF: 135 KB/ 3 pages)
    Orders Issued: July 6, 2001
    Timothy Carnel Lewis a/k/a Christopher Long, Madison, WI. File No. S-01045(EX). An Order of Prohibition and Revocation was issued based on allegations of fraud in the offers and sales of unregistered investment contract securities involving entities known as The Angel Group and Eclipz Eyewear, LLC.
  • Adobe PDF Document Payday Today USA.com, Inc. (PDF: 111 KB/ 2 pages)
    Orders Issued: June 29, 2001
    Payday Today USA.com, Inc., David E. L'Hoir a/k/a David Wynn, David L. Wynn, David E. Wynn, David L. L'Hoir and David L'Hoir-Wynn, Marlowe J. Huber, Jolene Buclatin, and Donnie Petrillo, Ft. Lauderdale, FL, El Cajon, CA and San Diego, CA. File No. S-01044(EX). Orders of Prohibition and Revocation were issued based on allegations of offers and sales of unregistered investment contract securities involving "accounts receivable purchase agreements" by unlicensed agents. L'Hoir has been arrested by the FBI on suspicion of mail fraud, wire fraud and money laundering.
  • Adobe PDF Document Bradley J. Goodrich and Argurion Group LLC d/b/a AG Securities Investment Management (PDF: 47 KB/ 1 page)
    Order Issued: June 29, 2001
    Bradley J. Goodrich and Argurion Group LLC d/b/a AG Securities Investment Management, Janesville, WI. File No. S-00117(LX). A Revised Order of Prohibition, Censure, Suspension and Denial of Securities Agent License (Goodrich) and an Order of Censure and Prohibition and Revocation of Previous Order (Argurion) were issued based on information obtained by the Division since the previous Orders were issued in this matter on January 18, 2001.
  • Adobe PDF Document 21st Century Pay Communications, Inc. (PDF: 196 KB/ 3 pages)
    Order Issued: June 8, 2001
    21st Century Pay Communications, Inc., First Call Telephone Company, Inc., Hapjack Marketing, Inc., Partners Investment Network, Inc., L. Robert Martin, Jr., Mary Moxley, Harold P. Coffin, Paul Ferroggiaro, Claude D. Smith, Brian T. Griggs, David D. Farrell, John Steele, Ronda K. Jenkins, Sherry Cuthbert, Marcus C. Kanahele, Jim Kime, and Ronald J. Beyer, Fresno and Lodi, CA, Las Vegas, NV, West Palm Beach and Winter Park, FL, and Billings, MT. File No. S-01078(EX). Orders of Prohibition and Revocation were issued based on allegations of fraud in the offers and sales of unregistered investment contract securities involving payphones by unlicensed broker-dealers and agents.
  • Adobe PDF Document Quest Events, Inc. a/k/a iTriumph and Kenneth A. Mackenzie (PDF: 79 KB/ 2 pages)
    Order Issued: May 31, 2001
    Quest Events, Inc. a/k/a iTriumph and Kenneth A. Mackenzie, Madison, WI. File No. S-00275(EX). Consent Orders of Prohibition and Revocation were issued based on allegations of fraud in the offer and sale of common stock and employing an unlicensed agent.
  • Adobe PDF Document Frank G. Coon (PDF: 30 KB/ 1 page)
    Order Issued: May 31, 2001
    Frank G. Coon, Milwaukee, WI. File No. S-99082(LX). A Stipulated Order Imposing Conditions in Connection with the Issuance of a Securities Agent License was issued requiring the Respondent to file a complete and accurate application and to submit to his employing broker-dealer “switch” letters signed by customers who switch between from one family of mutual funds to another or from a variable annuity to a mutual fund, along with a written statement setting forth Coon’s understanding of the customer’s reason for each mutual fund switch, including comments establishing the suitability of the switch.
  • Adobe PDF Document TLC Investments & Trade Co. (PDF: 176 KB/ 3 pages)
    Order Issued: May 22, 2001
    TLC Investments & Trade Co., TLC America, Inc., TLC Brokerage, Inc. and TLC Brokerage, Inc. d/b/a TLC Marketing, TLC Development, Inc., TLC Real Properties, Inc., TLC Real Properties, a/k/a RLLP-1, Cloud & Associates Consulting, Inc., Ernest F. Cossey, Gary W. Williams, Thomas G. Cloud, and Hector Serrano, Brea and Encinitas, CA and Atlanta, GA. File No. S-98308(EX). A Summary Order of Prohibition and Revocation was issued based on allegations of fraud in the offers and sales of unregistered investment contract securities pertaining to tax liens and employing in unlicensed agent.
  • Adobe PDF Document Boris Bugarski (PDF: 30 KB/ 1 page)
    Order Issued: May 17, 2001
    Boris Bugarski, Santa Ana, CA. File No. S-99224(EX). A Summary Order of Amending Previous Order was issued allowing for the sale of securities pursuant to exemptions under Ch. 551, Wis. Stats.
  • Adobe PDF Document Kempen & Co U.S.A., Inc. (PDF: 59 KB/ 2 pages)
    Order Issued: May 7, 2001
    Kempen & Co U.S.A., Inc., New York, NY. File No. S-01073(LX). A Summary Order of Denial of Broker-Dealer Application was issued based on failure to complete the application.
  • Adobe PDF Document Internet Capital Management, Inc. (PDF: 51 KB/ 1 page)
    Order Issued: May 7, 2001
    Internet Capital Management, Inc., Stamford, CT. File No. S-01088(LX). A Summary Order of Denial of Broker-Dealer Application was issued based on failure to complete the application.
  • Adobe PDF Document George A. Otto (PDF: 101 KB/ 3 pages)
    Order Issued: May 7, 2001
    George A. Otto, West Allis, WI. File No. S-01004(LX). A Consent Order of Prohibition, Censure and Suspension was issued based on allegations of offers and sales of unregistered investment contract securities involving viatical settlements while not licensed as an agent for the company for whom he sold them and which constituted unsuitable recommendations off the books and records of his employing broker-dealer.
  • Adobe PDF Document Shochet Securities, Inc. (PDF: 87 KB/ 2 pages)
    Order Issued: May 2, 2001
    Shochet Securities, Inc., Boca Raton, FL. File No. S-01080(LX). A Summary Order of Prohibition and Denial of Broker Dealer Application was issued based on allegations of unlicensed broker-dealer activity, employing unlicensed agents, failure to reasonably supervise agents, and making a false filing with the Division of Securities.
  • Adobe PDF Document Midwest Financial Associates Group, Inc. (PDF: 244 KB/ 4 pages)
    Order Issued: April 27, 2001
    Midwest Financial Associates Group, Inc., International Research, Inc., Robert L. Chaffee, Daniel L. Warson, Joseph W. Horness, Timothy G. Asp, and Donn D. Rettgen, Fountain Valley and Los Angeles, CA, Saginaw and Grand Haven, MI, and Reedsburg, WI. File No. S-00168(EX). Orders of Prohibition were issued based on allegations of offers and sales of unregistered investment contracts involving pay telephones by unlicensed broker-dealers employing unlicensed agents. Asp's Order was also based on allegations of conducting securities business off the books and records and without the permission of his employing broker-dealer.
  • Adobe PDF Document Frank G. Coon (PDF: 55 KB/ 1 page)
    Order Issued: April 19, 2001
    Frank G. Coon, Milwaukee, WI. File No. S-99082(LX). A Consent Order of Suspension (for 75 days) of Securities Agent License was issued based findings by the Wisconsin Office of the Commissioner of Insurance of numerous false representations to customers, at least 18 instances of purposely submitting false information to an insurance company in order to make substantial commissions, and unsuitable sales of life insurance policies which resulted in the revocation of his Wisconsin insurance agent license in March 2, 1999.
  • Adobe PDF Document Paul H. Tapper (PDF: 93 KB/ 2 pages)
    Order Issued: April 19, 2001
    Paul H. Tapper, Racine, WI. File No. S-01001(EX). A Summary Order of Prohibition and Revocation was issued based on allegations of fraud in the offer and sale of unregistered interests in the Bacon Investment Club by an unlicensed broker-dealer.
  • Adobe PDF Document British Secured Investments (PDF: 52 KB/ 1 page)
    Order Issued: April 5, 2001
    British Secured Investments, Vancouver, BC. File No. S-00178(EX). A Summary Order of Prohibition was issued based on allegations of offering unregistered bonds which were stated to represent certain Premium Savings Bonds issued by the United Kingdom.
  • Adobe PDF Document Michael E. Anniuk. (PDF: 71 KB / 2 pages)
    Orders Issued: April 2, 2001
    Michael E. Anniuk, Racine, WI. File No. S-97245(EX). A Summary Order of Prohibition and Revocation was issued based on findings of misappropriation of client funds and securities fraud in excess of $1.6 million.
  • Adobe PDF Document John T. Matthias and manufacturers Money Board, Inc. (PDF: 170 KB / 4 pages)
    Orders Issued: March 6, 2001
    John T. Matthias and Manufacturers Money Board, Inc., Bloomington and Coon Rapids, MN. File No. S-98176(FX). Summary Orders of Prohibition and Revocation were issued based on allegations of fraud in the offers and sales of unregistered franchises and investment contracts and employing unlicensed agents.
  • Adobe PDF Document Techno Century, Inc. (PDF: 301 KB / 5 pages)
    Orders Issued: March 5, 2001
    Techno Century, Inc. and Russell C. Freeman dba Capital Savings & Management, Sheboygan and West Bend, WI. File No. S-00005(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of fraud in the offers and sales of unregistered promissory notes by an unlicensed agent; transacting business as an unlicensed broker-dealer; and employing unlicensed agents.
  • Adobe PDF Document Payphone Connection, Inc. (PDF: 93 KB / 2 pages)
    Orders Issued: February 22, 2001
    Payphone Connection, Inc., BFG Marketing, LLC, Scott A. Sewall, and Lawrence Jack Bispo, Merritt Island, FL, and Bakersfield, CA. File No. S-99283(EX). Orders of Prohibition and Revocation were issued based on allegations of offers and sales of unregistered investment contracts involving payphones by unlicensed agents for an unlicensed broker-dealer.
  • Adobe PDF Document National Equipment Providers, LLC (PDF: 82 KB / 2 pages)
    Orders Issued: February 14, 2001
    National Equipment Providers, LLC, SPA Marketing, LLC, Ross S. Rambach, and Mark E. Kennison, Ashland, OR and Washington, PA. File No. S-00104(EX). Summary Orders of Prohibition and Revocation were issued based on allegations of soliciting insurance agents not licensed to sell securities in Wisconsin to offer and sell unregistered investment contracts involving ATM machines.
  • Adobe PDF Document New Vernon Securities LLC (PDF: 52 KB / 2 pages)
    Orders Issued: February 14, 2001
    New Vernon Securities LLC, Parsippany, NJ. File No. S-01014(LX). A Summary Order of Denial of Broker-Dealer Application was issued, based on failure to complete its application of June 7, 2000.
  • Adobe PDF Document Bradley J. Goodrich (PDF: 183 KB / 4 pages)
    Orders Issued: January 18, 2001
    Bradley J. Goodrich and Argurion Group LLC d/b/a AG Securities Investment Management, Janesville, WI. File No. S-00117(LX). A Summary Order of Censure, Suspension and Denial of Securities Agent License (against Goodrich) and a Summary Order of Censure and Prohibition (against Argurion) were issued, based on allegations of fraud and unethical or dishonest business practices while operating as an unlicensed investment adviser representative for a federal covered investment adviser before it had made the required notice filing in Wisconsin.
  • Adobe PDF Document Rolland E. Nielson (PDF: 96 KB / 2 pages)
    Order Issued: January 18, 2001
    Rolland E. Nielson, New Berlin, WI. File No. S-00169(LX). A Consent Order of Prohibition and Revocation and Censure was issued, based on allegations of failing to provide self-produced promotional materials for viatical settlement contracts to his employing broker-dealer for review and approval.
  • Adobe PDF Document Iron Horse Petroleum, Inc. (PDF: 73 KB / 2 pages)
    Order Issued: January 9, 2001
    Iron Horse Petroleum, Inc., Thomas A. Labry, And Bob Kelly, Tulsa, OK and Costa Mesa, CA. File No. S-00073(EX). Summary Orders of Prohibition and Revocation of Exemptions were issued, based on allegations of the offer of unregistered securities by an unlicensed agent.
  • Adobe PDF Document Cybervest Securities, Inc. (PDF: 47 KB / 1 page)
    Order Issued: January 5, 2001
    Cybervest Securities, Inc., Ft Lauderdale, FL. File No. S-00290(LX). A Summary Order of Denial of Broker-Dealer Application was issued, based on the firm's failure to complete the application.
  • Adobe PDF Document EZ Stocks.com, Inc. (PDF: 283 KB / 6 pages)
    Order Issued: January 3, 2001
    EZ Stocks.com, Inc., Chicago, IL. File No. S-00170(EX). A Consent Amended Order of Prohibition was issued, revoking and replacing the Summary Order of Prohibition and Revocation issued July 13, based on allegations of making untrue statements and omissions of material fact in the offer of securities, as well as making a false filing with the Division.

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