News Releases

Apr 15
2021

Dennis Keith Sanders: Guilty Pleas

On February 24, 2021, Dennis Keith Sanders, from Brenham, Texas, pleaded guilty to first degree securities fraud , theft , and money laundering . He was ordered to serve ten years of deferred adjudication community supervision, conditioned on his payment of more than $400,000 in restitution. The...

Apr 1
2021

Firm Agrees to a Refund and Fine for Unreasonable Supervisory System

Independent Financial Group, LLC, as part of a Consent Order that Texas Securities Commissioner, Travis J. Iles entered on April 1, 2021, agreed to refund $276,398.42 to the customers of a former Texas-based representative who implemented a high-risk trading strategy in leveraged exchange-traded...

Mar 18
2021

Commissioner Stops Illegal, Fraudulent and “Dirty” Securities Offering

Securities Commissioner Travis J. Iles entered an emergency cease and desist order against Larry Scott Rogers, from Montgomery and Conroe, Texas. The order accuses him of illegally and fraudulently offering securities to Texans.

The order also names D&S Recruiting DBA Legacy Leads, a...

All News Releases

Enforcement Actions: Administrative

Apr 15
2021

Order No. ENF-21-CDO-1835

In the Matter of Dennis Keith Sanders and Southwest Resources, Inc.: Agreed Cease and Desist Order

Apr 15
2021

Order No. REG21-CAF-02

In the Matter of the Investment Adviser Registration the Investment Adviser Representative Registration of Scott Malone: Reprimand, Fine, Undertaking, and Registration Granted

 

Apr 1
2021

Order No. IC21-CAF-01

In the Matter of Independent Financial Group, LLC: Undertaking and Fine

All administrative actions

Enforcement Actions: Criminal & Civil

Apr 14
2021

Indictment Handed Up in Quesadilla Caper

On April 7, 2021, a federal grand jury sitting in the Western District of Texas handed up a now unsealed indictment against Juan Enrique Kramer, Adriana Pastor, Noel Olguin and Karina Hernandez . The indictment alleges Kramer and Pastor, his wife, promoted turnkey investments tied to Las...

Jan 20
2021

Sarah Helen Hancock: Indicted

In January 2021, Sarah Helen Hancock was i ndicted by a Dallas County Grand Jury . She stands accused of engaging in fraud while working as an investment adviser representative and misapplying fiduciary property belonging to more than 20 different clients. The crimes allegedly occurred pursuant...

Jan 5
2021

Bruce and Martha Pollock: Indicted

On January 5, 2021, Bruce and Martha Pollock surrendered and appeared in Harris County District Court on felony charges of misapplication of fiduciary property and securing execution of a document by deception.

The indictments allege that Bruce and Martha Pollock took $15,000.00 from an...

All civil & criminal actions

Publications

Salute to Smart Investing cover

A Salute to Smart Investing

To help active military members achieve financial security, Salute covers investment "basic training," retirement planning, avoiding scams – and much more

 

It's Your Financial Life cover

It's Your Financial Life

Young workers of the world, invest! Your Financial Life cuts through the thicket of financial jargon and products as you begin managing your own finances.

All publications