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Securities Administrative Orders Issued - 2011

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.


E-HOLDING LTD. a/k/a WORLD OWNERS INSTANT PAYMENT, and RICHARD GILCHRIST – Case No. S-209706 (EX) – Petition for Order and Summary Cease and Desist Orders against E-Holding LTD a/k/a World Owners Instant Payment and Richard Gilchrist for misrepresentation and the offer or sale of unregistered securities in violation of § 551.501(2), Wis. Stats.

Orders were issued on December 22, 2011



FORESIGHT TRANSPORT, INC., FREEDOM CAPITAL MANAGEMENT, INC., DOYLE E. MARTIN & MATTHEW S. SILVEUS – Case No. S-217713(EX) – Summary Order of Prohibition and Revocation was issued for the violations of §551.41(2), Wis. Stats., for misrepresentation and omission in the offer and sales of securities.

Orders were issued on December 9, 2011



E. WAYNE HEIMAN – Case No. S-210015(EX)- Consent Order of Prohibition for acting as an unlicensed investment adviser in violation of § 551.31(3), Wis. Stats.

Orders were issued on November 8, 2011



SCIENTECH, INC., EDWARD T. JONES and JENNIFER A. JONES – Case No. S-213804(EX)- Petition for Order and Summary Cease and Desist Orders against Scientech, Inc., Edward T. Jones and Jennifer A. Jones for misrepresentation and omissions in violation of § 551.501(2), Wis. Stats., and against Edward T. Jones for conduct in willful violation of the Division's Order of June 23, 2004, which is a violation of § 551.508, Wis. Stats.

Orders were issued on September 9, 2011



ISPOTTEDYOU.COM, INC., Richard R Kelsey and William D Cerbe David C White – Case No. S-210117 (EX). Cease & Desist Orders (Consent) were issued against Ispottedyou.com, Inc., and Kelsey for violations of the Administrator's prior order issued on 12/14/2009 in File S-09092 (EX), and against all Respondents for sales of unregistered securities in violation of § 551.301, Wis. Stats.

Orders were issued on August 26, 2011



Adley Husni Abdulwahab a/k/a Adley Wahab, Christian L. Allmendinger, Brent P. Oncale and David C White – Case No. S209619 (EX) Summary Orders of Prohibition and Revocation were issued for violations of §551.41 Wis. Stats for fraud in the offer and sale of securities in Wisconsin.

Orders were issued on July 7, 2011


Bruce A. Geiger - Case No. S-08063(EX) Summary Orders of Prohibition and Revocation were issued against respondents for violations of § 551.41(2), Wis. Stats., for misrepresentation and omission in the offer and sale of securities. Also in violation of § 551.31(1), Wis. Stats., acting as an unregistered broker dealer.

Orders were issued on June 6, 2011



Robert L Niebauer - Case No. S-06169. Summary Orders of Prohibition and Revocation were issued against respondents for violations of § 551.41(2), Wis. Stats., for misrepresentation and omission in the offer and sale of securities.

Orders were issued on June 6, 2011



John M. Grno - Case No. S-216503 Summary Order of Prohibition and Revocation was issued against Grno for violations of § 551.41(2), Wis. Stats., for misrepresentation and omission in the offer and sale of securities, and violation of 21 551.41(3) for engaging in an act, practice or course of business which operates or would operate as a fraud or deceit on any person.

Orders were issued on June 3, 2011



Brenda L. Myers - Case S-212884(EX) Order to Vacate Order of Prohibition & Revocation.

Order issued on April 15, 2011



Todd L. Goedeke - CASE NO. S-216506(EX) Cease & Desist Order (Summary) for violations of §§ 551 , Wis. Stats., for fraud in the offer and sale of securities in Wisconsin.

Orders were issued on April 13, 2011



John W Torgerson, Preferred Acceptance Company, American Title & Abstract Company of Eau Claire, Inc., American Title Services-SCV, LLC, Dutchman Court, LLC, Glenn Place Partners, LLC, Elizabeth Hallie, LLC, Talmadge Apartments and Torgerson Management Company - Case No. S-209946 (EX). Summary Orders of Prohibition and Revocation for violations of §§ 551.41(2), Wis. Stats., for fraud in the offer and sale of securities in Wisconsin.

Orders were issued on April 5, 2011



Scott Kreitmeir- Case No. S-213663 (EX). Consent Order of Prohibition and Revocation for violations of § 551.41(2), Wis. Stats., for misrepresentations and omissions in the offer and sale of securities.

Orders were issued on March 8, 2011



Imperia Invest IBC, Steve Baker & Werner Jahnsen- Case No. S-210036 (EX). Summary Orders of Prohibition and Revocation for violations of §§ 551.21, 551.41(2) and 551.41(3), Wis. Stats., for fraud in the offer and sale of unregistered securities to persons in Wisconsin.

Orders were issued on March 4, 2011



Leo G. Kelly- Case No. S-214462 (EX)- Consent Order of Discontinuance.

Orders were issued on February 7, 2011




Charles M. Myers, Brenda L. Myers and Kitchen Investment Group, Inc.- Case No. S-212884 (EX)- Summary Orders of Prohibition and Revocation for fraud in the sale of securities in Wisconsin.

Orders were issued on January 12, 2011


A petition for hearing has been filed by Charles M. and Brenda L. Myers.

Goldman, Sachs & Co. - Case No. S-215589(EX). One of a series of similar Consent Administrative Orders negotiated by NASAA involving sales by a number of national brokerage firms of Auction Rate Securities to their customers using erroneous claims that the ARS were as liquid as money market funds, thus violating dishonest business practice and failure to supervise licensing rules. Firms repurchased the ARS from public investors nationally, and paid monetary penalties to states, including WI.

Orders were issued on January 11, 2011


 

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