FREDERICK W. SHULTZ

09/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BLAIR C. MIELKE (CRD No. 1878222), FREDERICK W. SHULTZ (CRD No. 5239977), THOMAS J. GORTER (CRD No. 1008601), and MICHAEL L. TRIER (CRD No. 1628954), Respondents. Disciplinary Proceeding No. 2009019837302 Hearing Officer - MC HEARING PANEL DECISION September 20, 2012 Respondents Blair C. Mielke, Thomas J. Gorter, Frederick W. Shultz, and Michael L. Trier engaged in private securities transactions,

04/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Frederick W. Shultz (CRD No. 5239977), and Respondents. DISCIPLINARY PROCEEDING No. 2009019837302 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This case involves numerous violations of FINRA Rules, all stemming from the Respondents' extensive involvement with Midwest Investment Partners, LLC. One or more of the Respondents (a) owned and managed Midwest Investment for compensation

07/18/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Blair C. Mielke Newburgh, IN, and Frederick W. Shultz Newburgh, IN, Respondents. DECISION Complaint No. 2009019837302 Dated: July 18, 2014 Registered representatives engaged in undisclosed outside business activities, participated in undisclosed private securities transactions, caused the firm to maintain inaccurate books and records, made misstatements on firm

09/24/2015: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 75981 / September 24, 2015 Admin. Proc. File No. 3-16022 In the Matter of the Applications of BLAIR C. MIELKE and FREDERICK W. SCHULTZ For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Failure to Provide Written Notice to and Obtain Written Approval from Firm Regarding Private Securities Transactions Failure to Provide

Reference 2009019837302data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org