Title: Wisconsin. Department of Securities: Investigation and Enforcement Files
Inclusive Dates: 1923-1962

Creator:

• Wisconsin. Department of Securities

Call Number: Series 1492

Quantity: 3.6 c.f. (3 record center cartons and 2 archives boxes)

Repository:

Wisconsin Historical Society, Division of Library, Archives, and Museum Collections

Archival Locations:

COLLECTION MAY BE STORED OFF-SITE: see catalog entry to request materials and for additional information.

Wisconsin Historical Society (Map)

Abstract:

Information gathered during investigations authorized by Sec. 551.56, Wis. Stats. The files include correspondence, reports, hearing transcripts, evidence, working papers, and memoranda on cases involving the issuance and sale of securities in Wisconsin.

Language: English

URL to cite for this finding aid: http://digital.library.wisc.edu/1711.dl/wiarchives.uw-whs-ser01492

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The materials in this series are comprised of numerous investigations of securities law violations undertaken by the Department of Securities (and its predecessor agencies, the Railroad and Public Service Commissions and the Banking Dept.). A number of these investigations led to prosecution in state court (and occasionally to further federal investigation by the Securities and Exchange Commission). Charges include fraud, illegal sales of securities (illegal usually because the sellers failed to obtain a permit from the state of Wisconsin), and similar violations of the state securities law. Some of the cases achieved a measure of regional notoriety, including the case of Sherburn J. Dodge (I.1818), a former mayor of Shawano who was tried in 1960 for embezzling large sums of money from his brokerage clients. Some have a particular degree of human interest - the files for the case of Elsie Ihlenfeld vs. William Seyler (0.1269), for example, contain a number of increasingly bitter letters from a delusional Ihlenfeld to a number of public officials (including Milwaukee District Attorney Herbert Steffes, Attorney General Orland Loomis, and Governor Philip La Follette), accusing them of obstructing justice and protecting Seyler from prosecution.

Materials include correspondence to and from individuals under investigation, attorneys, victims, and other authorities; exhibits from trials and investigations, financial documentation assembled by defendants and/or gathered by investigators; reports of investigations; transcripts of hearings; assorted memoranda; and other records relating to the investigation and enforcement processes.

By case number.

	Case no. 0.1138: Padding Cases Scope and Content Note: Correspondence and memoranda related to sales of securities backed by real estate in which padding of building costs was suspected.
Box   1 Folder   1	Documentation, 1925-1935
	Case no. 0.1219: Fur Farms Cases Scope and Content Note: Inquiries, replies, and investigation reports concerning issuance of bonds and other securities by fur farms.
Box   1 Folder   2	American Fur Growers-Black Diamond Fur Farms, 1927-1931
Box   1 Folder   3	Consolidated Fur Industries - Cornell Fur Farms, 1928-1938
Box   1 Folder   4	Fitzgerald Fox 8 Fur Farms - Hickory Grove Fox Ranch, 1926-1938
Box   1 Folder   5	Hudson Seal Fur Co. - Minnesota Silver Fox 8 Fur, 1929-1936
Box   1 Folder   6	Ten Thousand Lakes Fur Farms - Sparks Fur Farms, 1926-1930
Box   1 Folder   7	Squaw Islands Fur Co. - Wisconsin Fur Industries, 1923-1933
	Case no. 0.1239: Montana Oil and Gas Company Scope and Content Note: Correspondence about sales of royalty pool contracts.
Box   1 Folder   8	Documentation, 1927-1934
	Case no. 0.1269: Elsie Ihlenfeld v. Seiler Case Scope and Content Note: Correspondence, testimony, exhibits, and memoranda on alleged stock swindle case.
	Documentation
Box   1 Folder   9	1923, 1930-April 1938
Box   1 Folder   10	May 1938-1940
Box   1 Folder   11	Hearing and Conference Transcripts, 1930, 1935, 1938
Box   1 Folder   12	Report to the Banking Commission, 1938
Box   1 Folder   13	Subpoenas, 1938
	Case no. I.244: Franklin State Bank, 1925 Scope and Content Note: Transcript of hearing and related correspondence concerning revocation of permit for illegal sale of securities.
Box   1 Folder   14	Documentation, 1925-1929
Box   1 Folder   15	Exhibits, 1924-1927
Box   1 Folder   16	Fox vs. FSB Deposition, 1925
Box   1 Folder   17	Fox vs. FSB Hearing Transcript, 1925
Box   1 Folder   18	Troemel vs. FSB Hearing Transcript, 1929
	Case no. I.397: Greenbaum Sons Investment Company Investigation, 1924-1925
Box   1 Folder   19	Correspondence, 1924-1926
Box   1 Folder   20	Hearing Transcript, 1924
Box   1 Folder   21	Other Documentation, 1924-1925, 1927
	Case no. I.395: B.E. Buckman 8 Co. Investigation, 1932-1935
Box   2 Folder   1	Documentation, 1937-1938
Box   2 Folder   2-3	Transcript of Proceedings, 1937-1938
	Case no. I.407: Henry L. Doherty Cases, 1932-1935 Scope and Content Note: Papers in various court cases against a New York broker.
Box   2 Folder   4	General Documentation, 1932-1934
Box   2 Folder   5	Hummel vs. Doherty, 1932-1935
Box   2 Folder   6	Morgan, Buss vs. Doherty, 1932
Box   2 Folder   7	Gillette, Holtz, Horn vs. Doherty, 1932
Box   2 Folder   8	Hyland, La Monte, McCoy, Meigher vs. Doherty, 1932
Box   2 Folder   9	Nichols, Olson, Schendel, Schwartz vs. Doherty, 1932, 1935
Box   2 Folder   10	Volbrecht, Wehrwein, Dorner, Novak vs. Doherty, 1932, 1935
Box   2 Folder   11	Dagneau, Strutz, Dittman, Tinkham, Mikalonis, Wombold, Christensen vs. Doherty, 1932-1933, 1935
	Case I.1321: Gifford Trading Co. Investigation
Box   2 Folder   12	Documentation, 1937-1939
Box   2 Folder   13	Transcript of Proceedings, 1940
	Case I.1421: Barney Johnson 8 Co. Investigation
Box   2 Folder   14	Documentation, 1940-1941
Box   2 Folder   15	Transcripts of Proceedings, 1940
	Case I.47: H.M. Byllesby 8 Co. Investigation
Box   2 Folder   16	Documentation, 1938
	Case I.1438: Straus Company Investigation
Box   2 Folder   17	Documentation, 1940-1941
	Case I.1468: Harry Lenartz 8 Co. Investigation
	Documentation
Box   2 Folder   18	1924-May 1940
Box   2 Folder   19	June-July 1940
Box   2 Folder   20	August 1940-1951
Box   2 Folder   21	Financial Information, 1940?
	Legal Documentation
Box   2 Folder   22	Joseph F. Berns, 1940
Box   2 Folder   23	William Dunphy, 1940
Box   2 Folder   24	Russell M. Frawley, 1940
Box   2 Folder   25	Harry M. Lenartz, 1940
Box   2 Folder   26	John B. Lenartz, 1940
Box   2 Folder   27	Albert J. Machleith, 1940
Box   2 Folder   28	Joseph H. O'Neill, 1940-1941
Box   2 Folder   29	Wilmer J. Pergande, 1940
Box   2 Folder   30	Arthur Prueter, 1940
	Case I.1487: Northern Wisconsin Securities Co. Investigation
Box   2 Folder   31	Documentation, 1940-1941
Box   2 Folder   32	Transcripts of Hearings, 1940-1941
	Case I.1561: Securities Distribution Corp. Investigation
Box   3 Folder   1	Documentation, 1938-1941
Box   3 Folder   2-3	Transcripts of Hearings, 1939-1940
	Case I.1607: Marshall C. Cheney Investigation
Box   3 Folder   4	Documentation, 1938
	Case I.1616: Harrison, O'Gara 8 Co. Investigation
Box   3 Folder   5	Documentation, 1937
	Case I.1648: Thrift Foundation/Guaranty Org. Investigation
Box   3 Folder   6	Documentation, 1939-1944
Box   3 Folder   7	Financial Work Papers, 1939-1940?
Box   3 Folder   8	Forms and Pamphlets Used By Defendants, 1937-1938, n.d.
Box   3 Folder   9	Legal Documentation, 1943
Box   3 Folder   10	Report on Thrift Foundation, 1941
	Case I.1689: C.F. Birkhauser 8 Co. Investigation
Box   3 Folder   11	Documentation, 1936-1939
Box   3 Folder   12	Transcripts of Proceedings, 1939
	Case I.1702: G.A. Diehl/Insured Estates Agency Investigation
Box   3 Folder   13	Documentation, 1939-1940
	Case I.1706: George McGhie 8 Co. Investigation
Box   3 Folder   14	Documentation, 1937-1941
Box   3 Folder   15	Transcript of Hearings, 1939
	Case I.1725: Assured Investors Association Investigation
Box   3 Folder   16	Documentation, 1939-1941
	Case I.1737: Seidl Brothers Investigation
Box   3 Folder   17	Documentation, 1938-1939
	Case I.1760: Heronymus 8 Co. Investigation
Box   3 Folder   18	Documentation, 1947-1957
	Case I.1762: Guaranty Estate Agency/1st National Savings Investigation
Box   3 Folder   19	Documentation, 1940
	Case I.1782: John Gould Investigation
Box   3 Folder   20	Documentation, 1941-1942
	Case I.1784: C.A. Gundersen Investigation
Box   3 Folder   21	Documentation, 1940-1947
Box   3 Folder   22	Transcript of Hearing, 1941
	Case I.1790: B.M. Mulvaney 8 Co. Investigation
Box   4 Folder   1	Documentation, 1940-1955
	Case I.1818: Sherburn J. Dodge Investigation
Box   4 Folder   2	Dealers' Reports, 1958-1959
	Documentation
Box   4 Folder   3	1948-September 1959
Box   4 Folder   4	October , 1959-1962
Box   4 Folder   5	Report of 1959 Examination, 1959
Box   4 Folder   6	Statements of Complainants, 1959-1960
Box   4 Folder   7-8	Work Papers, 1954-1959
	Case I.1852: Kenneth E. Goodman 8 Co. Investigation
Box   5 Folder   1	Documentation, 1950-1958
	Case I.1916: F.M. Macdonald 8 Co. Investigation
Box   5 Folder   2	Documentation, 1954-1957
	Case I.1927: J.H Lederer 8 Co. Investigation
Box   5 Folder   3	Documentation, 1957-1958
Box   5 Folder   4	Exhibits, 1955-1958