SECURITIES, INC., et al.,
AMENDMENT TO CONSENT ORDER
Now on the 16th day of July, 2008, the Commissioner of Securities Matt Kitzi, after reviewing the Petition of Kaiser and Company to Modify Order of September 16th 2005 [sic] (the "Petition"), filed by Kaiser and Company ("Petitioner"), and other items, issues the following order:
Wyoming will not reapply for broker-dealer registration in Missouri for a period of five years from the date of this order unless:
the registered representatives, supervisors or other employees, agents or individuals associated with Respondent Wyoming Financial Securities, Inc. ("Wyoming"), who were named respondents in the Consent Order are no longer associated with the Petitioner in any manner;
Petitioner is not at the time of reapplication, and is at no point following reapplication, associated, affiliated or in any manner involved with any of the registered representatives, supervisors or other employees, agents or individuals associated with Wyoming who were named respondents in the Consent Order; and
all investors and clients of Wyoming aggrieved by the respondents named in the Consent Order and as described in the Consent Order have received full restitution and have been made whole.all investors and clients of Wyoming aggrieved by the respondents named in the Consent Order and as described in the Consent Order have received full restitution and have been made whole.
Each of the statements made in the 15 paragraphs of the Petition are a filing made under the Missouri Securities Act of 2003, and shall be so considered for purposes of Section 409.5-505, RSMo. In the event that the Commissioner determines that any such statement is false or misleading, the Commissioner shall refer the matter for criminal prosecution under Section 409.5-508(a), RSMo.
In the event that any of the conditions set in the amended Paragraph 3 of the "ORDER" section of the Consent Order are violated or are no longer true and accurate, or in the event that Petitioner is not in compliance with such conditions, the Registration Section of the Securities Division shall immediately review any application, reapplication or existing license of Petitioner and its agents, affiliates or other related parties for appropriate action, including suspension, revocation or conditioning.
Only Paragraph 3 under the "ORDER" section of the Consent Order is affected by this Amendment, and all other provisions of such Order shall remain as stated therein.
SECRETARY OF STATE
Matthew D. Kitzi
Commissioner of Securities
CERTIFICATE OF SERVICE
I hereby certify that on this 16th day of July, 2008, a copy of the foregoing AMENDMENT TO CONSENT ORDER, issued in the above-styled case, was mailed by certified U.S. Mail, postage prepaid, to:
Todd P. Bishop
Kaiser and Company
6101 Yellowstone Road, Suite 100
Cheyenne, WY 82009
and by hand-delivery to:
Chief Registration Counsel
John Hale, Specialist