Source: http://wdfi.org/newsroom/admin_orders/13_archive.htm
Timestamp: 2018-05-24 08:23:46
Document Index: 193379683

Matched Legal Cases: ['§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 553', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§551', '§551', '§551', '§551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§551', '§551', '§551', '§551', '§ 551', '§ 551', '§ 551', '§ 551', '§ 551', '§551', '§ 551', '§ 551', '§ 551', '§551', '§551', '§ 551', '§551', '§551', '§551', '§551', '§ 551', '§ 551', '§ 551', '§ 551', '§551', '§551', '§ 551', '§ 551']

Securities Administrative Orders Issued 2013
Donald Kernan LLC f/k/a DreamerTopia LLC, DreamerTopia Capital Management LLC, DreamerTopia Investments LP, DreamerTopia Corp, and Donald Alan Kernan Jr.- File No. S-228123(EX) – Cease and Desist Orders were issued as all respondents directly or indirectly offered and sold unregistered securities in Wisconsin in violation of Wis. Stat. § 551.201. Donald Alan Kernan Jr., Donald Kernan LLC, DreamerTopia Corp. and DreamerTopia Capital Management, LLC violated Wis. Stat. § 551.401 by transacting business as an unregistered broker-dealer and unregistered investment advisers in Wisconsin. Donald Alan Kernan Jr., Donald Kernan LLC, DreamerTopia Corp. and DreamerTopia Capital Management LLC violated Wis. Stat. § 551.501(2) by making misrepresentations and omissions.
Orders were issued on December 27, 2013
Donald Kernan LLC f/k/a DreamerTopia LLC, DreamerTopia Capital Management LLC, DreamerTopia Investments LP, DreamerTopia Corp, and Donald Alan Kernan Jr., Petition (PDF: 849 KB/ 4 pages)
Donald Kernan LLC, order (PDF: 307 KB/ 2 pages)
Donald Alan Kernan Jr, order (PDF: 299 KB/ 2 pages)
Dreamertopia Capital Management LLC, order (PDF: 215 KB/ 1 page)
Dreamertopia Corp, order (PDF: 207 KB/ 1 page)
Dreamertopia Investments LP, order (PDF: 212 KB/ 1 page)
KBR Capital Markets LLC- File No. S-229513(LX) - Order of Revocation of broker dealer registration issued pursuant to Wis. Stat. § 551.412 and Wis. Admin. Code § DFI-Sec. 4.09.
Orders were issued on December 19, 2013
KBR Capital Markets LLC, order (PDF: 53 KB/ 1 page)
Trinity Distributors LLC - File No. S-229512 (LX) – Order of Revocation of broker dealer registration issued pursuant to Wis. Stat. § 551.412 and Wis. Admin. Code § DFI-Sec. 4.09.
Orders were issued on December 13, 2013
Trinity Distributors LLC, order (PDF: 50 KB/ 1 page)
Obsidian Financial Group LLC - File No. S-229519 (LX) – Order of Revocation of broker dealer registration issued pursuant to Wis. Stat. § 551.412 and Wis. Admin. Code § DFI-Sec. 4.09.
Obsidian Financial Group LLC, order (PDF: 51 KB/ 1 page)
Aletheia Securities Inc - File No. S-229511 (LX) – Order of Revocation of broker dealer registration issued pursuant to Wis. Stat. § 551.412 and Wis. Admin. Code § DFI-Sec. 4.09.
Aletheia Securities Inc., order (PDF: 51 KB/ 1 page)
RBC CAPITAL MARKETS, LLC - Case No. S-228969(LX) - One of a series of Administrative Consent Orders negotiated by NASAA based on the failure of RBC Capital Markets LLC to register certain individuals who functioned as sales assistants. Order imposes a monetary penalty and was issued on December 6, 2013.
RBC Capital Markets, LLC, order (PDF: 2 MB/ 9 pages)
Bradley G Nagel - File No. S-222299(EX) - File No. 229244 - Order of Censure (Consent) was issued for violation of Wis. Stat.§ 551.412 for violating his fiduciary duties to clients as a registered investment representative.
Orders were issued on October 31, 2013
Bradley G Nagel, Petition (PDF: 346 KB/ 2 pages)
Bradley G Nagel, waiver (PDF: 129 KB/ 1 page)
Bradley G Nagel, order (PDF: 128 KB/ 1 page)
Sold 4 U Auctions, LLC - Case No. S-222139(FX). A Consent Order of Prohibition was issued for violation of Wis. Stat. § 553.21 and 553.27, selling franchises in Wisconsin without registering the franchise with the Division and failing to provide franchisees with offering circulars.
Orders were issued on October 11, 2013
Sold 4 U Auctions, LLC, Petition (PDF: 366 KB/ 2 pages)
Sold 4 U Auctions, LLC, waiver (PDF: 128 KB/ 1 page)
Sold 4 U Auctions, LLC, order (PDF: 128 KB/ 1 page)
UBS FINANCIAL SERVICES INC. - Case No. S-229037(LX) - One of a series of Administrative Consent Orders negotiated by NASAA based on the failure of UBS Financial Services Inc. to register certain individuals who functioned as sales assistants. Order imposes a monetary penalty, and was issued on October 22, 2013.
UBS FINANCIAL SERVICES INC., LLC, order (PDF: 2 MB/ 9 pages)
Southwest Biofuels, LLC, Rick J Jimenez, David M Simpson, John Grey and Adam H Baker - File No. S-222506(EX)- Cease and Desist Orders were issued against all respondents for violations of Wis. Stats § 551.301, offering unregistered securities in Wisconsin. Baker, Simpson and Grey violated Wis. Stats. § 551.402 by transacting securities business in Wisconsin without being registered. Southwest / Jimenez violated Wis. Stats. § 551.402 for employing unlicensed agents to represent it in Wisconsin. All respondents violated Wis. Stats. § 551.501 for misrepresentations and omissions of material facts in the sale of securities in Wisconsin. Consent orders were issued against Southwest Biofuels LLC, Jimenez and Simpson, while summary orders were issued against Grey and Baker.
Orders were issued on October 2, 2013
Southwest Biofuels, LLC, Rick J Jimenez, David M Simpson, John Grey and Adam H Baker, Petition (PDF: 727 KB/ 3 pages)
Southwest Biofuels, LLC, waiver (PDF: 141 KB/ 1 page)
David M. Simpson, waiver (PDF: 115 KB/ 1 page)
Rick J Jimenez, waiver (PDF: 134 KB/ 1 page)
Southwest Biofuels, LLC, order (PDF: 181 KB/ 1 page)
Rick J Jimenez, order (PDF: 184 KB/ 1 page)
David M Simpson, order (PDF: 180 KB/ 1 page)
John Grey, order (PDF: 209 KB/ 1 page)
Adam H Baker, order (PDF: 221 KB/ 1 page)
Exhibit A (PDF: 595 KB/ 4 pages)
Balfour Management Group, Inc., Joseph Leonard Allen, FMN Holdings LLC and Green Streak Group Inc.- File No. S-222299(EX) - Summary Cease and Desist Orders were issued for violations of Wis. Stats. § 551.301 for the offer of unregistered securities; § 551.402(1) for transacting business in Wisconsin as an unregistered securities agent; Wis. Stat. § 551.402(4) for employing an unregistered securities agent; § 551.401(1) for transacting business as an unregistered securities broker-dealer in Wisconsin; and § 551.501(2) for misrepresentations and omissions of material facts in the sale of securities in Wisconsin.
Orders were issued on September 18, 2013
Balfour Management Group, Inc., Joseph Leonard Allen, FMN Holdings LLC and Green Streak Group Inc., Petition (PDF: 632 KB/ 3 pages)
Balfour Management Group, Inc., order (PDF: 315 KB/ 2 pages)
Joseph Leonard Allen, order (PDF: 314 KB/ 2 pages)
FMN Holdings LLC, order (PDF: 312 KB/ 2 pages)
Green Streak Group Inc., order (PDF: 315 KB/ 2 pages)
Gates Oil & Gas Ltd, North American Energy Exchange Inc, Michael K Gray, Christian G Colin and John R Ketchmark- File No. S-227714(EX) – Cease & Desist Orders (Consent) issued for violation of Wis. Stat. §551.301 for offering unregistered securities to at least one person in Wisconsin. NAEE violated Wis. Stat. §551.401(1) by transacting business as a “broker-dealer” without registering with the division, and Wis. Stat. §551.402(4) by employing an unregistered person to represent them in Wisconsin. Ketchmark violated Wis. Stat §551.402(1) by transacting business in Wisconsin as an unregistered agent.
Orders were issued on September 9, 2013
Gates Oil & Gas Ltd, North American Energy Exchange Inc, Michael K Gray, Christian G Colin and John R Ketchmark, Petition (PDF: 358 KB/ 2 pages)
Gates Oil & Gas Ltd, waiver (PDF: 120 KB/ 1 page)
North American Energy Exchange Inc, waiver (PDF: 308 KB/ 2 pages)
Michael K Gray, waiver (PDF: 118 KB/ 1 page)
Christian G Colin, waiver (PDF: 302 KB/ 2 pages)
John R Ketchmark, waiver (PDF: 137 KB/ 1 page)
Gates Oil & Gas Ltd, order (PDF: 224 KB/ 1 page)
North American Energy Exchange Inc, order (PDF: 283 KB/ 2 pages)
Michael K Gray, order (PDF: 192 KB/ 1 page)
Christian G Colin, order (PDF: 190 KB/ 1 page)
John R Ketchmark, order (PDF: 223 KB/ 1 page)
Global Corporate Alliance, Inc, Duncan John MacDonald III, Gloria Ann Solomon, John W Kosolcharoen, Millennia International LLC and David R Damante- File No. S-225433 Summary Cease and Desist Orders were issued for violations of Wis. Stats. § 551.301 for the offer of unregistered securities; § 551.402(1) for transacting business in Wisconsin as an unregistered securities agent; Wis. Stat. § 551.402(4) for employing an unregistered securities agent; § 551.401(1) by Millennia International LLC for transacting business as an unregistered securities broker-dealer in Wisconsin; and § 551.501(2) for misrepresentations and omissions of material facts in the sale of securities in Wisconsin.
Orders were issued on September 4, 2013
Global Corporate Alliance, Inc, Duncan John MacDonald III, Gloria Ann Solomon, John W Kosolcharoen, Millennia International LLC and David R Damante, Petition (PDF: 1 MB/ 5 pages)
Global Corporate Alliance, Inc, order (PDF: 248 KB/ 2 pages)
David R Damante, Order (PDF: 246 KB/ 2 pages)
Duncan John MacDonald III, Order (PDF: 248 KB/ 2 pages)
John W Kosolcharoen, Order (PDF: 402 KB/ 3 pages)
Gloria Ann Solomon, Order (PDF: 245 KB/ 2 pages)
Millennia International LLC, Order (PDF: 248 KB/ 2 pages)
Vertex International Group, LLC, Capital Public Relations, LLC and Sebastian DeLoye - File No. S-227825 Summary Cease and Desist Orders were issued for violations of Wis. Stats. § 551.301 for the offer of unregistered securities; § 551.402(1) for transacting business in Wisconsin as an unregistered securities agent; Wis. Stat. § 551.402(4) for employing an unregistered securities agent; and § 551.401(1) by Vertex International Group, LLC and Capital Public Relations, LLC for transacting business as an unregistered securities broker-dealer in Wisconsin.
Vertex International Group, LLC, Capital Public Relations, LLC and Sebastian DeLoye, Petition (PDF: 385 KB/ 2 pages)
Vertex International Group, LLC, order (PDF: 288 KB/ 2 pages)
Capital Public Relations, LLC, Order (PDF: 259 KB/ 2 pages)
Sebastian DeLoye, Order (PDF: 233 KB/ 2 pages)
Jeffrey C Rodd and Redwood Valley Interests, LLC - Case No. S-227988(EX)- Summary Cease and Desist Orders were issued for violations of Wis. Stats. § 551.301 for the offer of unregistered securities; § 551.402(1) for transacting business in Wisconsin as an unregistered securities agent; Wis. Stat. § 551.402(4) for employing an unregistered securities agent; § 551.401(1) by Redwood Valley Interests LLC for transacting business as an unregistered securities broker-dealer in Wisconsin; and § 551.501(2) for misrepresentations and omissions of material facts in the sale of securities in Wisconsin.
Orders were issued on May 8, 2013
Jeffrey C Rodd and Redwood Valley Interests, LLC, Petition (PDF: 318 KB/ 2 pages)
Jeffrey C Rodd, order (PDF: 256 KB/ 2 pages)
Redwood Valley Interests, LLC, Order (PDF: 282 KB/ 2 pages)
William D Brandenburg - Case No. S-228168(LX) - Cease & Desist Orders (Consent) issued for violation of Wis. Stat. §551.402(1) for the offer and sale of securities in Wisconsin by an unregistered agent.
Orders were issued on May 6, 2013
William D Brandenburg, Petition (PDF: 149 KB/ 1 page)
William D Brandenburg, waiver (PDF: 115 KB/ 1 page)
William D Brandenburg, Order (PDF: 185 KB/ 1 page)
Blackwood & Rose, Inc., Steve Andrew Zetchus and Justin Luther Kreller a/k/a Justin Kay - Case No. S-227662(EX)- Summary Cease and Desist Orders were issued for violations of Wis. Stat. § 551.301 for the offer of unregistered securities; violation of Wis. Stat. § 551.402(1) for transacting business in Wisconsin as a securities agent without registration; violations of Wis. Stat. § 551.402(4) for employing an unregistered securities agent; violation of § 551.401(1) by Blackwood for transacting business as an unregistered securities broker-dealer in Wisconsin; and for violations of Wis. Stat. § 551.501(2) for omission of material facts in the sale of securities in Wisconsin.
Orders were issued on April 24, 2013
Blackwood & Rose, Inc., Steve Andrew Zetchus and Justin Luther Kreller a/k/a Justin Kay, Petition (PDF: 567 KB/ 3 pages)
Blackwood & Rose, Inc., order (PDF: 246 KB/ 1 page)
Justin Luther Kreller a/k/a Justin Kay, Order (PDF: 247 KB/ 1 page)
Steve Andrew Zetchus, order (PDF: 224 KB/ 1 page)
Erik R Themmen and Steve H Bailen - Case No. S-218569(EX)- Cease & Desist Orders (Consent) issued for the violation of Wis. Stat. §§ 551.301 by offering unregistered securities to a person in Wisconsin, for the violation of Wis. Stat. §551.402(2) by employing an unregistered agent to offer and sell securities in Wisconsin, and for violation of Wis. Stat. §551.402(1) for the offer and sale of securities in Wisconsin by an unregistered agent.
Orders were issued on April 12, 2013
Erik R. Themmen and Steve H. Bailen, Petition (PDF: 378 KB/ 2 pages)
Erik R. Themmen, Waiver (PDF: 121 KB/ 1 page)
Erik R. Themmen, Order (PDF: 189 KB/ 1 page)
Steve H Bailen, Waiver (PDF: 138 KB/ 1 page)
Steve H. Bailen, Order (PDF: 162 KB/ 1 page)
Consolidated Wealth Holdings Inc., Alternative Investment Services Inc., Deanna Jo Osborne, Scott Allen Osborne, John Edward Spalding, Laura H Spalding, Michael K Wallens Jr, & Eric M Kurz - Case No. S-209641(EX)- Summary Orders of Prohibition and Revocation were issued for violations of Wis. Stat. §551.21 in the offer and sale of unregistered securities to persons in Wisconsin, for misrepresentation and omissions in the sale of securities in violation of Wis. Stat. §551.41(2) and for transacting business in Wisconsin as a broker-dealer without a license in violation of Wis. Stat. § 551.31.
Orders were issued on April 9, 2013; updated July 30, 2014
Consolidated Wealth Holdings Inc. et. al., Petition (PDF: 751 KB/ 4 pages)
Consolidated Wealth Holdings Inc. et. al., Waiver (PDF: 751 KB/ 4 pages)
Consolidated Wealth Holdings Inc., Order (PDF: 306 KB/ 2 pages)
Alternative Investment Services Inc., Order (PDF: 241 KB/ 2 pages)
Deanna Jo Osborne, Waiver (PDF: 254 KB/ 2 pages)
Deanna Jo Osborne, Order (PDF: 254 KB/ 2 pages)
Scott Allen Osborne, Waiver (PDF: 246 KB/ 2 pages)
Scott Allen Osborne, Order (PDF: 246 KB/ 2 pages)
John Edward Spalding, Waiver (PDF: 247 KB/ 2 pages)
John Edward Spalding, Order (PDF: 247 KB/ 2 pages)
Laura H Spalding, Waiver (PDF: 48 KB/ 1 page)
Laura H Spalding, Order (PDF: 90 KB/ 2 pages)
Michael K Wallens Jr, Order (PDF: 269 KB/ 2 pages)
Eric M Kurz, Order (PDF: 246 KB/ 2 pages)
Arizona Gold Processing LLC, AZGO LLC, DLB Metals International LLC, Donald L Braxton, Robert T Helper, Darin H Mangum, David H Mangum, Charles L Robertson, Barry Cohen, Joe Lawrence & George Logan - Case No. S-226023(EX) – Summary Cease and Desist Order was issued for violation of Wis. Stat. § 551.301 for the offer of unregistered securities; violation of Wis. Stat. § 551.402(1) for transacting business in Wisconsin as a securities agent without registration; violation of Wis. Stat. § 551.402(4) for employing an unregistered securities agent; and violation of Wis. Stat. § 551.501(2) for omission of material facts in the sale of securities in Wisconsin.
Orders were issued on April 5, 2013
Arizona Gold Processing LLC et. al., Petition (PDF: 826 KB/ 4 pages)
Arizona Gold Processing LLC, Order (PDF: 281 KB/ 2 pages)
AZGO LLC, Order (PDF: 241 KB/ 2 pages)
DLB Metals Internationsl LLC, Order (PDF: 289 KB/ 2 pages)
Donald L Braxton, Order (PDF: 174 KB/ 1 page)
Robert T Helper, Order (PDF: 220 KB/ 2 pages)
Darin H Mangum, Order (PDF: 170 KB/ 1 page)
Darin H Mangum, Waiver (PDF: 119 KB/ 1 page)
David H Mangum, Order (PDF: 219 KB/ 2 pages)
Charles L Robertson, Order (PDF: 222 KB/ 2 pages)
Barry Cohen, Order (PDF: 236 KB/ 2 pages)
Joe Lawrence, Order (PDF: 233 KB/ 2 pages)
George Logan, Order (PDF: 255 KB/ 2 pages)
Friends United Network Inc, a.k.a. FUN Group LLC & Richard I Byrne- Case No. S-226350(EX) - Summary Order of Prohibition and Revocation for the offer and sale of unregistered securities under Wis. Stat. §551.21.
Orders were issued on April 4, 2013
Friends United Network Inc, a.k.a. FUN Group LLC, Petition (PDF: 427 KB/ 2 pages)
Friends United Network Inc, a.k.a. FUN Group LLC , Order (PDF: 258 KB/ 2 pages)
Richard I Byrne, Order (PDF: 241 KB/ 2 pages)
Michael H. Campbell - Case No. S-227435 – Order of Suspension of Agent & Investment Adviser Representative Registration (Consent) was issued for violation of Wis. Stat. § 551.406(5) and 551.605 for the selling of an investment without the appropriate License/Registration approval.
Orders were issued on April 2, 2013
Michael H. Campbell, Petition (PDF: 217 KB/ 1 page)
Michael H. Campbell, Waiver (PDF: 124 KB/ 1 page)
Michael H. Campbell, Order (PDF: 192 KB/ 1 page)
Leslie G Fregien - Case No. S-209834(LX) – Order of Censure (Consent) was issued for violation of Wis. Stat.§ 551.412 for violating his fiduciary duties to clients as a registered investment representative.
Orders were issued on March 21, 2013
Leslie G Fregien, Petition (PDF: 505 KB/ 2 pages)
Leslie G Fregien, Waiver (PDF: 142 KB/ 1 page)
Leslie G Fregien, Consent (PDF: 148 KB/ 1 page)
Leonard Benson D/B/A Leonard Benson Company - Case No. S-226903(EX) – Summary Cease & Desist Order issued for the violations of Wis. Stat. §§ 551.301 and 551.501(2) for misrepresentation and omissions in the sale of unregistered securities in the offer and sale of securities to a Wisconsin investor.
Orders were issued on March 19, 2013
Leonard Benson, Petition (PDF: 331 KB/ 2 pages)
Leonard Benson, Order (PDF: 219 KB/ 1 page)
Arthur W Eith - Case No. S-210124(EX) – Summary Order of Prohibition and Revocation for the offer and sale of unregistered securities under Wis. Stat. §551.21, and for misrepresentation and omissions in the sale of securities in violation of Wis. Stat. §551.41(2).
Orders were issued on March 8, 2013
Arthur W. Eith, Petition (PDF: 604 KB/ 3 pages)
Arthur W. Eith, Order (PDF: 236 KB/ 1 page)
Arthur W. Eith, Exhibit 1 (PDF: 206 KB/ 1 page)
Arthur W. Eith, Exhibit 2 (PDF: 293 KB/ 1 page)
Arthur W. Eith, Exhibit 3 (PDF: 168 KB/ 1 page)
Genesis Fulfillment Management LLC, Russell C Freeman and Nicholas E Rezny - Case No. S-210278(EX) - Cease & Desist Orders (Consent) issued for the violations of Wis. Stat. §§ 551.301 and 551.508 for misrepresentation and omissions in the sale of unregistered securities in the offer and sale of securities to Wisconsin investors.
Orders were issued on March 7, 2013
Genesis Fulfillment Management LLC, Russell C Freeman and Nicholas E Rezny, Petition (PDF: 614 KB/ 3 pages)
Genesis Fulfillment Management LLC, Waiver (PDF: 134 KB/ 1 page)
Genesis Fulfillment Management LLC, Order (PDF: 171 KB/ 1 page)
Russell C Freeman, Waiver (PDF: 144 KB/ 1 page)
Russell C Freeman, Order (PDF: 191 KB/ 1 page)
Nicholas E Rezny, Waiver (PDF: 124 KB/ 1 page)
Nicholas E Rezny, Order (PDF: 167 KB/ 1 page)
ProMed Alliance International Inc., Willis Bradford Hale and Jordan Hernandez - Case No. S-223459 (EX) - Summary Cease & Desist Orders issued for violations of Wis. Stat. §551.402(2) by employing an unregistered agent to offer and sell securities in Wisconsin, and for violation of Wis. Stat. §551.402(1) for the offer and sale of securities in Wisconsin by an unregistered agent.
Orders were issued on January 23, 2013
ProMed Alliance International Inc., Willis Bradford Hale and Jordan Hernandez, Petition (PDF: 230 KB/ 1 page)
ProMed Alliance International Inc., Order (PDF: 207 KB/ 1 page)
Willis Bradford Hale, Order (PDF: 200 KB/ 1 page)
Jordan Hernandez, Order (PDF: 184 KB/ 1 page)
Maxim Energy Corporation, Jerry E. Elliott & James D. French - Case No. S-225229(EX) - Summary Cease & Desist Order was issued for violation of Wis. Stat. §551.501(2) for misrepresentation and omission of material facts in the sale of securities in Wisconsin. Maxim Energy Corporation, Jerry E Elliott & James D French also offered and sold unregistered securities to a person in Wisconsin in violation of Wis. Stat. §551.201.
Orders were issued on January 18, 2013
Maxim Energy Corporation, Jerry E. Elliott and James D. French, Petition (PDF: 457 KB/ 2 pages)
Maxim Energy Corporation, Order (PDF: 291 KB/ 2 pages)
Jerry E. Elliott, Order (PDF: 283 KB/ 2 pages)
James D. French, Order (PDF: 266 KB/ 2 pages)
Sumariaglobal LLC, Premchand H. Shah, Kevin McCarthy and Matthew Thompson - Case No. S-225076(EX) – Summary Cease and Desist Order was issued for violation of Wis. Stat. § 551.301 for the offer of unregistered securities; violation of Wis. Stat. § 551.402(1) for transacting business in Wisconsin as a securities agent without registration; violation of Wis. Stat. § 551.402(4) for employing an unregistered securities agent; and violation of Wis. Stat. § 551.501(2) for omission of material facts in the sale of securities in Wisconsin.
Orders were issued on January 15, 2013
Sumariaglobal LLC, Premchand H. Shah, Kevin McCarthy and Matthew Thompson, Petition (PDF: 393 KB/ 2 pages)
Sumariaglobal LLC, Order (PDF: 281 KB/ 2 pages)
Premchand H. Shah, Order (PDF: 276 KB/ 2 pages)
Kevin McCarthy, Order (PDF: 217 KB/ page)
Matthew Thompson, Order (PDF: 260 KB/ 2 pages)
Techmar Industries Inc., Todd Ramsey & Joe Mitte - Case No. S-225823(EX) - Summary Cease & Desist Order was issued for violation of Wis. Stat. §551.501(2) for misrepresentation and omission of material facts in the sale of securities in Wisconsin. Techmar Industries Inc, Todd Ramsey & Joe Mitte also offered and sold unregistered securities to a person in Wisconsin in violation of Wis. Stat. §551.201.
Techmar Industries Inc., Todd Ramsey and Joe Mitte, Petition (PDF: 316 KB/ 2 pages)
Techmar Industries Inc., Order (PDF: 204 KB/ 1 page)
Joe Mitte, Order (PDF: 211 KB/ 1 page)
Todd Ramsey, Order (PDF: 202 KB/ 1 page)
ROBERT A MANGAN - Case No. S-223664 (EX) - Cease & Desist Orders (Consent) were issued for violations of Wis. Stats. §§ 551.301(2007-08) and 551.21(2005-06), by the offer and sales of unregistered securities, and for violations of Wis. Stats. §§ 551.501(2) and 551.41(2) for misrepresentation and omission of material facts in connection with the offer and sale of securities in Wisconsin.
Orders were issued on January 14, 2013
Robert A. Mangan, waiver (PDF: 132 KB/ 1 page)
Robert A. Mangan, consent (PDF: 343 KB/ 2 pages)
Robert A. Mangan, Order (PDF: 168 KB/ 1 page)