Mar 5
2002

Order No. CDO-1449

In the Matter of Roger Alan Bennett d/b/a Bennett Drilling and Tay W. Bond

Feb 25
2002

Order No. CDO-1448

In the Matter of Midas World Holdings S.A. and Midas Corporation

Feb 20
2002

Woody Keith Lowe

On February 20, 2002, Woody Keith Lowe was indicted by a Potter County Grand Jury in connection with the alleged sale of Omne SRL promissory notes in violation of the criminal provisions of the Texas Securities Act. In total, Mr. Lowe is alleged to have sold over $800,000 of the notes to Amarillo...
Feb 13
2002

Cameron O. Bailey

On February 13, 2002, Cameron O. Bailey was indicted by a Dallas County Grand Jury in connection with the sale of offshore certificates of deposit issued by Cambridge International Bank & Trust Company, Ltd. as well as for selling Taormina Omne SRL promissory notes. The grand Jury handed down 24...
Feb 11
2002

Order No. CAF-1447

In the Matter of the Investment Adviser Registration of James Franklin Forrester d.b.a. Forrester Financial Advisors

Feb 6
2002

Order No. CDO/FIN-1446

In the Matter of Globex Exploration, Inc. and Kevin Seth Clifton Hilliard

Jan 18
2002

Charles E. Cole also know as Chuck Cole

On January 18, 2002, Charles E. Cole also know as Chuck Cole, pled guilty to two 56 count indictments alleging securities related violations, in the 249th District Court, in Johnson County, Texas. The case numbers are F34939/34940. Pursuant to his guilty plea Mr. Cole was sentenced to 5 years in...
Dec 7
2001

Sharon June Hutchison

On December 7, 2001, Judge R.E. Thornton for the 297th District Court for Tarrant County, Texas found Sharon June Hutchison guilty of ten counts of selling securities without being registered as a securities dealer or agent. Hutchison worked as a sales agent for CMI Financial, located in Fort Worth...
Dec 5
2001

Michael Earl Hill

On December 5, 2001, Michael Earl Hill of Plano, Texas pled guilty to securities fraud and mail fraud before the Honorable Senior District Court Judge Jerry Buchmeyer. Doing business as Mike Hill, Inc. dba Financial Investments, Mr. Hill obtained approximately $3.9 million to purchase certificates...
Dec 3
2001

Order No. CEN-1445

In the Matter of the Agent Registration of James Galinsky

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