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Securities Administrative Orders Issued

The following orders were issued by the Division pursuant to Wis. Stat. §551.605 with respect to various professional registration and securities filing requirements under the Wisconsin Uniform Securities Law and may modify or supplement the requirements of Chapter 551. For orders relating to enforcement matters, see below.

COVID-19 Orders

Adobe PDF Document Emergency Order for Registrants Affected by the COVID-19 Outbreak (Issued March 20, 2020)

Crowdfunding Orders

Adobe PDF Document Order Permitting Certain Advertising under Wis. Stat. §551.202(27)

Adobe PDF Document Order Regarding Periodic Reporting

Adobe PDF Document Order Regarding Commissions

Exemption Orders

Adobe PDF Document Order Designating Nationally Recognized Securities Manual

Adobe PDF Document Private Fund Adviser Exemption Order

Professional Registration Orders

Adobe PDF Document Order Requiring Compliance with New FINRA Examination Requirements

Reg A Orders

Adobe PDF Document Order Regarding Regulation A Tier 2 Notice Filing

Reg D Orders

Adobe PDF Document Reg D Delinquent Filing Order

Enforcement Orders

The following orders were issued by the Division to enforce various provisions of the Wisconsin Uniform Securities Law as found in Chapter 551. Signed copies of Petitions for Order and Orders associated with the following persons or entities are available in the PDF format.

See Links to Archives below

 

Xtreme Clean of the Fox Cities, Inc. – Case No. S-244553 (FX) – a Summary Order to Cease and Desist and Revoking Franchise Registration was issued against Xtreme Clean of the Fox Cities, Inc. for the following violation:

  • Xtreme Clean of the Fox Cities, Inc. violated Wis. Stat. § 553.26(1) when it failed to upload an offering circular in a form required by Wis. Stat. § 553.27(4) with the franchise registration for Xtreme Clean of the Fox Cities, Inc.

Order issued January 18, 2022

 

Daniel L. Van Houten a/k/a Danny L. Van Houten – Case No. S-236002 (EX) – a Consent Order to Cease and Desist and for Civil Penalties was issued against Daniel L. Van Houten a/k/a Danny L. Van Houten for the following violations:

  • Van Houten violated Wis. Stat. § 551.402(1) when he offered and sold securities in Wisconsin without being registered as an agent or properly exempted from registration as an agent under Ch. 551.

Order issued January 11, 2022

 

2021 Securities Administrative Order Archive

2020 Securities Administrative Order Archive

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2018 Securities Administrative Order Archive

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1999 Securities Administrative Order Archive

1998 Securities Administrative Order Archive