Source: https://www.wdfi.org/newsroom/admin_orders/09_archive.htm
Timestamp: 2017-12-13 07:19:40
Document Index: 638216070

Matched Legal Cases: ['§ 551', '§551', '§ 551', '§ 551', '§ 551', '§ 551', '§551']

2009 Administrative Orders Issued (Securities)
Advanced Planning Securities, Inc. Respondent is from Smithtown, NY. Case No. S-07032 (LX). Order for revocation of broker-dealer license issued by the Administrator because it has requested termination of its registration and ceased doing business in Wisconsin.
Orders were issued December 16, 2009.
Petition (PDF: 570 KB/ 2 pages)
Advanced Planning Securities, Inc. Order (PDF: 308 KB/ 1 page)
S.W. Consulting & Property, Sharon F. Williams and James E. Williams. Summary info: all respondents from Green Bay, WI. Case No. S-09021 (EX). Summary Orders of Prohibition and Revocation for unlicensed selling of unregistered securities (investment contracts and promissory notes in business making loans on distressed real estate) in violation of §§ 551.21 and 551.31, Wis Stats., as well as misrepresentation in the sale of securities in violation of §551.41, Wis. Stats.
Orders were issued December 14, 2009.
Petition (PDF: 897 KB/ 3 pages)
S.W. Consulting & Property Order (PDF: 425 KB/ 2 pages)
S.W. Consulting & Property Waiver (PDF: 254 KB/ 1 page)
Sharon F. Williams Order (PDF: 439 KB/ 2 pages)
Sharon F. Williams Waiver (PDF: 249 KB/ 1 page)
James E. Williams Order (PDF: 464 KB/ 2 pages)
James E. Williams Waiver (PDF: 252 KB/ 1 page)
Ispottedyou.com, Inc., Secure A Financial Future Society, William G. Lehmann and Richard R. Kelsey, respondents from Muskego, WI and Antioch, IL. Case No. S-09092 (EX). Cease and Desist Orders issued by the Administrator for the sale of unregistered securities of an entity investing in a web-marketing business by unregistered agents of an unregistered broker-dealer in violation of §§ 551.301 & 551.401, Wis. Stats.
Petition (PDF: 995 KB/ 3 pages)
William G. Lehmann Order (PDF: 313 KB/ 1 page)
William G. Lehmann Waiver (PDF: 218 KB/ 1 page)
Secure A Financial Future Society Order (PDF: 451 KB/ 2 pages)
Secure A Financial Future Society Waiver (PDF: 231 KB/ 1 page)
Ispottedyou.com, Inc. Order (PDF: 321 KB/ 1 page)
Ispottedyou.com, Inc. Waiver (PDF: 236 KB/ 1 page)
Richard R. Kelsey Order (PDF: 312 KB/ 1 page)
Richard R. Kelsey Waiver (PDF: 228 KB/ 1 page)
Gary J. Marquardt and Becman Company LLC, of Waukesha, Wisconsin, Case No. S-09035 (EX). Summary Orders of Prohibition and Revocation for unregistered sale of promissory notes in Wisconsin and failure to provide information to the Division.
Orders were issued November 10, 2009.
Petition (PDF: 481 KB/ 2 pages)
Gary J. Marquardt Order (PDF: 480 KB/ 2 pages)
Becman Company LLC Order (PDF: 483 KB/ 2 pages)
Jasmine Oil, Inc., and Jimmy W. Gray, of Duncan, Oklahoma, and True Funding Partners, Inc., and Michael A. Donaldson, of Brea, California; Case No. S-09066 (EX)-Consent Cease and Desist Orders for violations of § 551.301, Wis. Stats. (sale of unregistered security) and §§ 551.401 and 551.402 , Wis. Stats., (sales by unregistered brokers/agents).
Orders were issued November 4, 2009.
Petition (PDF: 785 KB/ 2 pages)
Jasmine Oil, Inc. Order (PDF: 318 KB/ 1 page)
Jasmine Oil, Inc. Consent (PDF: 716 KB/ 3 pages)
Michael A. Donaldson Order (PDF: 298 KB/ 1 page)
Michael A. Donaldson Waiver (PDF: 224 KB/ 1 page)
Jimmy W. Gray Order (PDF: 310 KB/ 1 page)
Jimmy W. Gray Consent (PDF: 716 KB/ 3 pages)
True Funding Partners, Inc. Order (PDF: 366 KB/ 1 page)
True Funding Partners, Inc. Waiver (PDF: 209 KB/ 1 page)
Eric Page Inc., Investors Resource Center, LLC, L&E Properties of Kenosha, LLC, and Eric N. Page, Kenosha; Case No. S-09018 (EX)- Summary Orders of Prohibition and Revocation for fraudulent sales of promissory notes to Wisconsin investors in violation of § 551.41, Wis. Stats.
Orders were issued September 22, 2009.
Petition (PDF: 798 KB/ 2 pages)
Eric Page Inc. Order (PDF: 520 KB/ 2 pages)
Investors Resource Center, LLC Order (PDF: 530 KB/ 2 pages)
L&E Properties of Kenosha, LLC Order (PDF: 533 KB/ 2 pages)
Eric N. Page Order (PDF: 509 KB/ 2 pages)
Lyons Ward & Associates, LLC, Gene Collins, and Phillip Roth, all of New York City; Case No. S-09032 (EX)- Summary Orders of Prohibition and Revocation for unlicensed selling of unregistered securities as well as misrepresentation in the sale of securities in violation of §551.41, Wis. Stats.
Orders were issued August 24, 2009.
Petition (PDF: 902 KB/ 3 pages)
Lyons Ward & Associates, LLC Order (PDF: 588 KB/ 2 pages)
Gene Collins Order (PDF: 559 KB/ 2 pages)
Phillip Roth Order (PDF: 540 KB/ 2 pages)
Derek McSherry of Lake Geneva, WI; File No. S-08157(LX). Consent Order of Censure, Prohibition and Suspension for causing a facsimile client signature to be affixed to a transfer document. A 15-day suspension will be applied immediately if McSherry applies for registration and is approved.
Order was issued June 25, 2009.
Petition (PDF: 408 KB/ 1 page)
Derek McSherry Order (PDF: 257 KB/ 1 page)
Derek McSherry Waiver (PDF: 221 KB/ 1 page)
Energy Recovery Group, LLC (Plano, Texas); Paul Alan Kimball (Coppell, Texas); and Dwight E Brehm (McKinney, Texas); File No. S-08145(EX). Summary Orders of Prohibition and Revocation for the sale of unregistered securities.
Orders were issued June 22, 2009.
Petition (PDF: 790 KB/ 2 pages)
Energy Recovery Group, LLC Order (PDF: 486 KB/ 2 pages)
Paul Alan Kimball Order (PDF: 482 KB/ 2 pages)
Dwight E Brehm Order (PDF: 484 KB/ 2 pages)
DA-VI Nails International, LLC, David Truong, and VI Truong Cao, of Murray, Utah; File No. S-08017(FX). Consent Orders of Prohibition for selling an unregistered franchise.
Orders were issued May 26, 2009.
Petition (PDF: 626 KB/ 2 pages)
DA-VI Nails International, LLC Order (PDF: 255 KB/ 1 page)
DA-VI Nails International, LLC Waiver (PDF: 237 KB/ 1 page)
David Truong Order (PDF: 244 KB/ 1 page)
David Truong Waiver (PDF: 225 KB/ 1 page)
VI Truong Cao Order (PDF: 240 KB/ 1 page)
VI Truong Cao Waiver (PDF: 222 KB/ 1 page)
Andy (Seng) Vang of Wausau, File No. S-08154(EX). Consent Order of Prohibition and Revocation for unlicensed sales; impersonating a licensed agent of a broker/dealer, and failing to invest the funds he received from investors.
The Order was issued March 23, 2009.
Petition (PDF: 645 KB/ 2 pages)
Andy (Seng) Vang Order (PDF: 409 KB/ 2 pages)
Andy (Seng) Vang Waiver (PDF: 228 KB/ 1 page)
Paul L. Clements of Prairie du Chien, Wisconsin; File No. S-07162(EX). Consent Order of Prohibition and Revocation for selling securities in the form of debt obligations, in violation of the anti-fraud provisions, for an act, practice or course of business which operates or would operate as a fraud, and for making untrue statements or omitting to state material facts.
The Order was issued March 12, 2009.
Petition (PDF: 727 KB/ 2 pages)
Paul L. Clements Order (PDF: 425 KB/ 2 pages)
Paul L. Clements Waiver (PDF: 246 KB/ 1 page)
Andy (Seng) Vang of Wausau, File No. S-08154(EX). Summary Order of Prohibition and Revocation for unlicensed sales; impersonating a licensed agent of a broker/dealer, and failing to invest the funds he received from investors.
The Order was issued March 6, 2009.
Petition (PDF: 648 KB/ 2 pages)
Andy (Seng) Vang Order (PDF: 531 KB/ 2 pages)
In the Matter of Gregory L Oldham and Glenn R. Harris of Greenfield, WI; File No. S-07032-LX. Consent Orders of Suspension and Conditions in Connection with the Issuance of a Securities Agent Registration.
The Oldham Order was issued March 2, 2009, for the unqualified sale of private placement securities, for unsuitable recommendations to an investor, and for selling off the books of his broker-dealer..
The Harris Order was issued March 6, 2009, for the unqualified sale of private placement securities and for unsuitable recommendations to an investor
Petition (PDF: 1,096 KB/ 3 pages)
Gregory L Oldham Order (PDF: 904 KB/ 2 pages)
Gregory L Oldham Waiver (PDF: 215 KB/ 1 page)
Glenn R. Harris Order (PDF: 820 KB/ 2 pages)
Glenn R. Harris Waiver (PDF: 543 KB/ 2 pages)
James G. Kops of Whitefish Bay and Milwaukee, WI; File No. S-08054(EX). Summary Order of Prohibition and Revocation for selling a security (in the form of an investment contract) without providing statutory disclosures, including 1) his conviction previously of securities fraud; and 2) the 1983 Securities Order issued against him by the WI Commissioner of Securities; and 3) an unsatisfied judgment docketed against him for a similar investment transaction.
The Order was issued March 4, 2009
Petition (PDF: 763 KB/ 2 pages)
James G. Kops Order (PDF: 497 KB/ 2 pages)
Denver A. Kalkofen of New Holstein, WI; File S-08156(LX). A Summary Cease and Desist Order for selling off the books and records of her broker-dealer, selling unregistered securities, acting as an unregistered securities agent, fraud in the offer and sale of securities and fraud by conversion of customer funds for personal use. A request for a Notice of Hearing to revoke Kalkofen’s securities agent license retroactively was also included in the petition.
Order issued January 29, 2009.
Petition (PDF: 1,129 KB/ 3 pages)
Denver A. Kalkofen Order (PDF: 813 KB/ 2 pages)
Calvin “CJ” Morris, Jr., of Racine, Wisconsin; File No. S-08155(EX). Summary Order of Prohibition and Revocation for the unlicensed selling of unregistered securities in the form of Promissory Notes, for making untrue statements of material fact in connection with the offer and sale of securities, and failing to respond to the Division.
Order issued January 13, 2009.
Petition (PDF: 1,124 KB/ 3 pages)
Calvin “CJ” Morris, Jr. Order (PDF: 506 KB/ 2 pages)