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...

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...

Nov 29
2001

Jesse A. Aguilar

On November 29, 2001, Jesse A. Aguilar of Round Rock, Texas pled guilty to conspiracy to commit securities fraud, wire fraud and mail fraud before United States District Court Judge Sam Sparks, in Austin, in connection with the fraudulent offering of Nortex Exploration, Inc. oil and gas...

Nov 8
2001

Dale Pickard

On November 8, 2001, in the 338th District Court of Harris County, Texas, Dale Pickard was sentenced to 20 years in prison by District Judge Elsa Alcala, in connection with his conviction of one count of securities fraud involving an aggregate of over 24 transactions and $262,838.50 in investor...

Oct 31
2001

Hendrik Rienstra

On October 31, 2001, in Travis County, Texas, indictments were unsealed charging Hendrik Rienstra with securities fraud and theft. Mr. Rienstra was arrested in Belgium. The securities fraud indictment alleges that Mr. Rienstra was operating a Ponzi scheme and that he intentionally failed to...

Sep 20
2001

Bradley J. Farley

On September 20, 2001, Judge John Gabriel of the 166th District Court of Bexar County, Texas issued a permanent injunction against Bradley J. Farley , individually and dba Abba Funding from further violations of the Texas Securities Act. The case was filed at the request of the Texas Securities...

Sep 10
2001

Michael James Konkel

On September 10, 2001, Michael James Konkel , a Wisconsin resident, received a suspended 10 year prison sentence and was placed on 10 years community supervision, ordered to pay a $2000 fine and $360,000 restitution in connection with his conviction for securities fraud and misapplication of...

Jul 25
2001

Earl Dean Osbourn, Jr.

Earl Dean Osbourn, Jr. , was indicted by a Randall County Grand Jury for securities fraud in connection with the issuance of securities related to a Dallas company called Nature's Remedies, Inc. The allegations include the non-disclosure of prior securities fraud and tax related convictions....

Jul 12
2001

Brian Russell Stearns

On July 12, 2001 Mr. Stearns was sentenced by United States District Court Judge James R. Nowlin to a total of 30 years in prison in connection with case number A-99-CR-230(1), Western District Of Texas--Austin Division, in connection with an investigation conducted by federal, state and local...

Jun 26
2001

Bradley J. Farley

On June 26, 2001, Bradley J. Farley , of San Antonio, was sentenced to 7 years in state prison by Judge Bert Richardson of the 379th Judicial District Court of Bexar County in connection with his conviction for misapplication of fiduciary property and selling unregistered securities in case...

Jun 22
2001

Charles E. Cole

On June 22, 2001 a Johnson County Grand Jury handed up two indictments to the 249th District Court, against Charles E. Cole also known as Chuck Cole for 56 counts of selling unregistered securities and dealing in securities without registration. The case numbers are F34939/34940. A trial date...

May 24
2001

Sherry W. Keisling and H. Bradley Bertrand

On May 24, 2001 in the 385th Judicial District Court for Midland County, Texas, Sherry W. Keisling , formerly of Midland and H. Bradley Bertrand , of Blachard, Oklahoma, were ordered to pay $113,000 and $125,000, respectively, to investors in connection with the unlawful sale of securities. The...

Apr 23
2001

James De La Garza

On April 23, 2001, James De La Garza , a San Antonio resident and parolee, was sentenced to 15 years in prison and to pay restitution, in connection with his convictions for securities fraud and theft charges in the 399th District Court of Bexar County. Mr. De La Garza was indicted in June 2000...

Mar 26
2001

H. Bradley Bertrand and Sherry W. Keisling

On March 26, 2001, H. Bradley Bertrand and Sherry W. Keisling pled no contest to charges of violations of the Texas Securities Act in the 385th Judicial District Court for Midland County, Texas. Both defendants were charged in connection with the sales of certificates viaticated insurance...

Mar 5
2001

Charles E. Cole aka Chuck Cole

On March 5, 2001 in Johnson County, Texas, a warrant for the arrest of Charles E. Cole aka Chuck Cole (DOB 6-17-38) was executed, for selling unregistered securities between May and November, 2000. Operating through a company called Cole Springer Engine and also called Cole Springer Energy Pilot...

Feb 22
2001

Hollis Larenzo Maxfield

On February 22, 2001, Hollis Larenzo Maxfield pled guilty to Wirefraud, count 75 of an indictment, in the United States District Court for the Northern District Of Texas--Dallas Division, in cause number 3-00: CR-389-L(4). In connection with his guilty plea, Mr. Maxfield admitted that he, along...

Feb 22
2001

Brian Russell Stearns

On February 22, 2001, Judge John Dietz of the 53rd District Court, Travis County, Texas, issued orders of receivership over the assets of Brian Russell Stearns and Trans-Global Asset Management, Inc. in connection with cause number GV 100254, State Of Texas v. Brian Russell Stearns, et al....

Feb 12
2001

Bradley J. Farley

On February 12, 2001 before Judge Bert Richardson of the 379th Criminal District Court of Bexar County, Texas, Bradley J. Farley entered a no contest plea to Misapplication of Fiduciary Property and selling unregistered securities in cause number 2000-CR-3149. The case stemmed from the sale of...

Jan 18
2001

Mario Alberto Garza

On January 18, 2001 in the United States District Court for the Western District of Texas, San Antonio Division, Mario Alberto Garza was sentenced in connection with his conviction for two counts of uttering forged securities of an organization, in violation of 18 USC 513(a). Mr. Garza was...

Jan 18
2001

Michael James Konkel

On January 18, 2001 a Comanche County Grand Jury indicted Michael James Konkel in cause number 01-01-02278-CCCR for securities fraud and misapplication of fiduciary property in connection with the offer for sale and sale of Venture Fund Group notes to eight Comanche County, Texas residents. Mr....

Jan 16
2001

James F. Ricker

On January 16, 2001, James F. Ricker was sentenced in Bexar County, by State District Court Judge Mary Roman to 13 years in prison in case number 2000-CR-3948. Mr. Ricker was convicted of unlawfully dealing in unregistered securities and misapplication of fiduciary property. Mr. Ricker operated...

Jan 9
2001

James De La Garza

On January 9, 2001 James De La Garza , a San Antonio resident and parolee, pled no contest to securities fraud and theft charges in the 399th District Court of Bexar County. Mr. De La Garza was indicted in June 2000 for a scheme to solicit investors to invest in instruments issued by Quanalyze...

Jan 4
2001

Sidney Neil Katchem aka Jack Tanner aka Bobby Jones aka Dave Taylor

On January 4, 2001 Sidney Neil Katchem aka Jack Tanner aka Bobby Jones aka Dave Taylor was sentenced to 37 months in prison and to pay restitution in the amount of $2,487,709.28 by Judge James R. Nowlin, Chief United States District Judge for the Western District Of Texas--Austin Division in...