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2006 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.

James A. Nickels, File No. S-05122 (LX). Consent Order of Suspension of Securities License for a period of 90 days effective as of July 1, 2007.
Order was issued on December 27, 2006.

Petromarc, Inc., David D. Swantner, and James E. Fulp, Jr., File No. S-06172 (EX). (Three) Consent Orders of Prohibition for offering or selling unregistered securities through unlicensed agents.
Orders were issued on December 26, 2006.

Christopher Lee Jacke. File No. S-06075 (LX). Summary Order of Suspension of Securities Agent License for two months, concurrent with the NASD suspension for a dishonest and unethical business practice.
Orders were issued on December 26, 2006.

PAJ Investments, LLC; and Pamela Ann Johnson, File No. S-06042 (EX). Summary Orders of Prohibition and Revocation for the protection of the public.
Orders were issued on November 30, 2006.

US Real Estate Partners, Inc; Jules B. Fleder; and Bernard R. Ware. File No. S-06118 (EX). Summary Orders of Prohibition and Revocation for hiring unlicensed agents to sell unregistered securities and for causing misleading statements to be made in the selling of those securities.
Orders were issued on November 30, 2006

Michael M. Gosse, File No. S-06034 (EX). Order Revoking Previous Summary Order of Prohibition and Revocation.
Order issued on November 14, 2006.

A.L. Brown, File No. S-06131(EX).
Order issued on November 13, 2006.

Investors Preferred Opportunities, Inc.; Kayatana H. Harrison Daniels; Jules B. Fleder; Roger Sherman, File No. S-06131(EX). Summary Orders of Prohibition and Revocation for selling unregistered securities, using misleading statements, and failing to respond to Division requests.
Order issued on November 6, 2006.

Ronald M. Breight Financial, LLC, File No. S-05208 (LX). Decision and Order, after hearing, denying investment adviser licenses to Ronald M. Breight and Ronald M. Breight Financial, LLC, for transacting business without a license.
Order issued on September 15, 2006.

Fastbucks Franchise Corporation, File No. S-06155 (FX).Summary Order of Suspension of Franchise Offering Registration for failure to file financial statements with Division of Securities that are in the format required by Ch. 553, Wis. Stats.
Orders issued on September 12, 2006.

Paul L. Clements., File No. S-06002 (L).Consent Order for Censure of Securities Agent License for failure to record securities transaction or get authorization from his broker-dealer.
Orders issued on July 11, 2006.

Brian S. Henkel and ING Financial Partners, Inc., F/K/A Locust Street Securities, Inc., File No. S-04192 (LX).Consent Order of Censure for failing reasonably to supervise its agent to prevent the making of unsuitable recommendations and for making unsuitable recommendations.
Orders issued on August 28, 2006.

Craig Hueffner and Spaman Wholesale, Inc., DBA Master Spas of Wisconsin., File No. S-03123 (EX). Summary Order of Prohibition for unlicensed broker-dealer activities prohibiting him from employing an unlicensed securities agent and ordering him to resolve his civil liability for unlawful sales of securities. Summary Order of Prohibition for employing unlicensed securities agent in Wisconsin ordering it to resolve its civil liability for having done so.

Orders issued on August 28, 2006. Hearing requested by named parties, and Notice of Hearing issued.

Accutax, LLC., File No. S-06100 (FX). Consent order of prohibition selling an unregistered franchise and failing to provide an offering circular to the prospective franchisee.
Orders issued on July 17, 2006.

William W. Block, Jr., File No. S-06091 (EX). Summary order of prohibition and revocation making misleading statements in connection with the offer and sale of a security, failure to pay a return on an investment, and for failure to provide the Division staff with documents and information on his securities-related activities.
Orders issued on July 17, 2006.

James A. Nickels, File No. S-05122(LX). Notice of Hearing and Prehearing Conference concerning possible revocation of respondent's license for inducing trading in customers' accounts which is excessive in size or frequency in view of the financial resources and character of the account.
Hearing issued on June 22, 2006.

Ronald M. Breight and Ronald M. Breight Financial, LLC, File No. S-05208(LX). Notice of Hearing and Prehearing Conference concerning possible denial of the investment adviser license of Ronald M. Breight Financial, LLC, and the investment adviser representative license of Ronald M. Breight for acting as an unlicensed investment adviser and unlicensed investment adviser representative.
Hearing issued on June 22, 2006.

David Riley and Keith Walls, File No. S-04004 (FX). Summary order of prohibition and revocation for selling an unregistered franchise and for use of misleading information.
Orders issued on June 22, 2006.

Christopher J. Diedrich, File No. S-05060 (LX).Consent order of prohibition and censure for borrowing money from a customer and for trading without discretionary authority from a customer.
Orders issued on June 22, 2006.

Geo Securities, Inc., File No. S-06086 (LX).Summary order of revocation of securities broker-dealer license for failure to respond to staff requests about the NASD suspension and upon belief that respondent is no longer in business.
Orders issued on June 22, 2006.

Noventis, Inc, File No. S-06067 (EX). Summary order of prohibition and revocation for offering unregistered securities and failing to respond to staff requests.
Orders issued on June 22, 2006.

UBS Group, Inc, and Johnathan Ahlf, File No. S-06071 (EX). Summary order of prohibition for selling an unregistered franchise.
Orders issued on June 22, 2006.

David W. Bower, File No. S-05238 (EX). Summary order of prohibition and revocation for selling unregistered securities in the form of equity investments in Tatap, Inc., misrepresentation, and failure to pay on the investment contract.
Orders issued on May 30, 2006.

Randall Landwehr and Michael M. Gosse, File No. S-06034 (EX). Summary orders of prohibition and revocation for misrepresentation in the sale of securities in the form of shares in Monster Hall Raceway. In the Matter of Michael M. Gosse, a hearing has been requested and a Notice of Hearing has been issued.
Orders issued on May 30, 2006.

Morgan F. Murphy, Jr; Morgan F. Murphy III, and Robert D. Boyle, File No. S-05217 (EX). Consent orders of prohibition for failure to state material facts in connection with the sale of securities in the form of stock and/or membership units in NII-JII Entertainment, LLC.
Orders issued on May 30, 2006.

Edward P. Perley, Jr., File No. S-06078-L. Summary order of denial of securities agent license application for failure to complete the application which he originally filed on January 3, 2006.
Orders issued on May 30, 2006.

Garagetek, Inc., File No. S-06074 (FX). Summary order of suspension for filing incomplete documents with the Division of Securities.
Order issued on May 15, 2006.

Midwestern Enterprises, Inc., d/b/a Inkrx and Inkrx.com; and Adrian P. Anderson, File No. S-06004 (FX). Consent orders of prohibition for sale of an unregistered franchise.
Orders issued on May 15, 2006.

Digital Entertainment Corporation and Ernest P. Lamonica, File No. S-04220 (EX). Summary orders of prohibition and revocation for sale of unregistered securities and making misleading statements.
Orders issued on May 15, 2006.

Joseph J. Hrdlicka, File No. S-05213 (EX). Summary order of prohibition for sale of unregistered securities, failure to pay investors, and failure to respond to requests from the Division of Securities. A Hearing Request was submitted by Respondent, but Respondent later withdrew Hearing Request, such that the Summary Order remains in effect as issued.
Order issued on May 15, 2006.

John R. Wustner, File No. S-06060 (EX). Summary order of prohibition and censure for offering and selling unregistered securities on behalf of Resorts International, for dishonest and unethical business practices, for violation of a consent order, and for failure to respond to requests from the Division.
Order issued on May 15, 2006.

John R. Wustner, File No. S-06064 (EX). Summary order of prohibition and censure for offering and selling unregistered securities in the form of viatical settlements for Mutual Benefits Corporation, for dishonest and unethical business practices, for selling away, and for failure to respond to requests from the Division.
Order issued on May 15, 2006.

D.E.I. Franchise Systems, Inc., File No. S-06072 (FX). Summary order of suspension for filing an incomplete document with the Division.
Order issued on May 04, 2006.

Success Trust and Holding, LLC and A. Paul Reynolds, File No. S-06032 (EX). Summary order of prohibition and revocation for the sale of unregistered securities and failure to provide requested information to the Division.
Orders issued on May 04, 2006.

Donna M. Vogt, File No. S-03083 (LX). Consent order of revocation of securities agent license for unsuitable investments, lending money to customers, making misleading filing with the DFI Securities Division, making misleading statements to clients, and engaging in a course of business which operates as a fraud or deceit upon her customers.
Order issued on May 03, 2006.

Romaine A. Quinn and J.A.P. Brokers DBA RJ Quinn Trading, formerly known as Worldwide Commodity Trader LLC, File No. S-05173 (EX). Summary Orders of Prohibition and Revocation for selling unregistered securities, failure to disclose material facts and failure to repay investments.
Orders issued on April 27, 2006.

Quadra Pay Land, LLC; Eavenson Family LLP; and Michael L. Eavenson, File No. S-06021 (EX). Summary Orders of Prohibition and Revocation - for sale of unregistered securities. Orders issued on April 14, 2006.

John Wong, File No. S-03282 (LX). Summary Order of Prohibition and Denial of Securities Agent License– for dishonest and unethical practices, misrepresentations, failure to disclose material facts.
Order issued April 14, 2006.

John M. Jesse, File No. S-06052L. Summary Order of Revocation of Investment Adviser License – pursuant to a finding that he is out of business.
Order issued April 14, 2006.

Welhouse & Associates, Inc, File No. S-05210(LX). Consent Order of Censure for dishonest or unethical business practice.
Order issued April 03, 2006.

Travis W. Luedke and Exchange Growth League, File No. S-06033(EX). Summary Orders of Prohibition and Revocation of Exemptions for sale of unregistered securities.
Orders issued April 03, 2006.

International Fraud Assessment Agency (IFAA), File No. S-06037(EX). Summary Order of Prohibition and Revocation of Exemptions relating to offers to sell or purchase securities.
Order issued March 23, 2006.

Global Link Mergers and Acquisitions, File No. S-06037(EX). Summary Order of Prohibition from offering to purchase securities.
Order issued March 17, 2006.

Stephen M. Sirianni, File No. S-05209-L. Stipulated order suspending Sirianni for a period of 3 days from October 8, 2004, for engaging in Private Securities Actions.
Order issued March 10, 2006.

Scott A. Riggs, File No. S-04093(EX). Summary Order Revoking Previous Order; Undertaking by Scott A. Riggs to become licensed in Wisconsin before making securities calls and to abide by Ch. 551., Wis. Stats.
Order issued March 8, 2006.

Bear Creek Mining, Richard E. Shell, and Patrick M. Mckeown, Jr, File No. S-05185(EX). Summary Order of Prohibition and Revocation for fraud in the offer and sales of investments in Bear Creek Mining.
Orders issued February 28, 2006.

Anthony M. Frisone, File No. S-03245(EX). Summary Order Revoking Previous Order based on information later obtained by the staff.
Order issued February 28, 2006.

Royce J. Raymond, File No. S-05061(LX); Findings of Fact, Conclusions of Law, Decision and Order Revoking securities agent license for selling unregistered securities, selling away from his employing broker-dealer, failing to disclose another state's order against him; making untrue statements of material fact, engaging in unfair business practices, and defaulting on his hearing..
Order was issued February 22, 2006.

Foreign Exhange Capital Management a/k/a FX Capital Management, Mitchell Ellis Pritchard, Kevin Matres, Errol Kaplan, File No. S-05231(EX). Summary Orders of Prohibition against these parties for the offer and sale of unregistered securities in Wisconsin in the form of investment contracts in a foreign capital exchange and interbank marketing.
Orders issued February 2, 2006.

Joseph Franco. File No. S-05197(EX). Summary Order of Prohibition and Revocation for the unlicensed sale of unregistered securities in the form of investment contracts in Riverdale Energy Corporation.
Order issued: January 05, 2006

Riverdale Energy Corporation. File No. S-05197(EX). Stipulated Order of Prohibition and Revocation for making or causing to be made offers or sales of investment contracts in Riverdale Energy.
Order issued: January 05, 2006

Leroy Avery. File No. S-05220(EX). Stipulated Order of Prohibition for the unlicensed sale of unregistered securities in the form of viatical settlement contracts on behalf of Beneficial Assurance, Ltd.
Order issued: January 05, 2006

Paul A. Bernier. File No. S-05202(EX). Summary Order of Prohibition for the unlicensed sale of unregistered securities in the form of viatical settlement contracts on behalf of Beneficial Assurance, Ltd.
Order issued: January 05, 2006

John J. Schmitz. File No. S-05199(EX). Summary Order of Prohibition for the unlicensed sale of unregistered securities in the form of viatical settlement contracts on behalf of Beneficial Assurance, Ltd.
Order issued: January 05, 2006

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