Dec 12
2006

Charles Dwain Davis, Jr.

Charles Dwain Davis, Jr. , of Dallas, Texas, was sentenced on December 12, 2006, in the United States District Court, Northern District of Texas, Dallas Division, following his guilty plea in July 2006 to one count of securities fraud. Davis admitted that while working as a registered...

Dec 5
2006

Phillip Ronald Richardson

Phillip Ronald Richardson , of The Woodlands, Texas, pled guilty on December 5, 2006, in the 177th District Court, Harris County, Texas, Cause No. 1060965 to securities fraud. Richardson was involved in the offer for sale and the sale of stock issued by ETG Technologies, Inc. He was sentenced...

Nov 16
2006

Jules B. Fleder

Jules B. Fleder of Beverly Hills, California, was convicted on November 16, 2006, in the United States District Court, Eastern District of Texas, Tyler Division, Cause No. 6:05CR00016-001, on one count of conspiracy to commit mail fraud and one count of securities fraud. Felder conspired with...

Nov 16
2006

Jack Arnold Brown

Jack Arnold Brown of Marshall, Texas, was convicted on November 16, 2006, in the United States District Court, Eastern District of Texas, Tyler Division, Cause No. 6:05CR00033-001, on one count of conspiracy to commit securities fraud and mail fraud. Brown conspired with Jules B. Fleder to...

Nov 16
2006

Melvin Dean Marshall

Melvin Dean Marshall of Meadowlakes, Texas, was convicted on November 16, 2006, in the 33rd Judicial District Court in Burnet County, Texas, Cause Nos. 32521 and 32522, on one count of securities fraud and one count of first-degree theft, respectively. Marshall sold investment agreements...

Nov 15
2006

Michael David George

Michael David George of Austin, Texas, was indicted on November 15, 2006, in the United States District Court, Western District of Texas, San Antonio Division, Cause No. SA-06-CR-600-XR. George is charged with one count of securities fraud, two counts of mail fraud, and one count of money...

Nov 9
2006

Bruce Barney Strahan, Jr.

Bruce Barney Strahan, Jr. of Temple, Texas, pled guilty on November 9, 2006, in the 15th Judicial District Court, Grayson County, Texas, Cause No. 054741-15, to selling unregistered securities and selling securities without being registered as a securities dealer or agent. Strahan was a sales...

Oct 26
2006

John Kareem Wannamaker

John Kareem Wannamaker of Dallas, Texas, pled guilty on October 26, 2006, in United States District Court, Northern District, Dallas Division, Cause No. 305-CR-0184K, to one count of conspiracy to commit wire fraud and securities fraud, five counts of wire fraud and aiding and abetting, one...

Oct 12
2006

Frank Boyd Harrison

Frank Boyd Harrison , of Selma, Texas, was indicted on October 12, 2006, in the 290th District Court in Bexar County, Texas, Cause No. 2006-CR-8714, for the sale of unregistered securities, the sale of securities by an unregistered dealer/agent, and for securities fraud. Harrison allegedly made...

Sep 26
2006

Jeffrey Eugene Brown

Jeffrey Eugene Brown of Mesquite, Texas, was indicted on September 26, 2006, in the 173rd Judicial Court, Henderson County, Texas, Cause Nos. B-15,039 and B-15,040, charged with acting as an unregistered sales agent in the sale of unregistered securities issued by Mobile Billboards of America,...

Aug 22
2006

William June Fletcher, Jr

William June Fletcher, Jr. of Plano, Texas, pled guilty on August 22, 2006, in the 210th Judicial District Court in Collin County, Texas, Cause No. 219-81812-06, to charges of securities fraud. Fletcher received a 10 year suspended sentence, and agreed to pay restitution in the amount of $241,...

Aug 8
2006

Bruce Frank Ruark

Bruce Frank Ruark of Austin, Texas, was indicted on August 8, 2006, in the 277th Judicial District Court in Williamson County, Texas, Cause No.'s 06-1393-K277 and 06-1394-K277. Ruark was charged with securities fraud in the aggregate amount of $100,000 or more, stemming from ten sales of the...

Jul 26
2006

Charles Dwain Davis

On July 26, 2006, an Information and Waiver of Indictment were entered against Charles Dwain Davis of Dallas, Texas, in the US District Court, Northern District, Dallas, Texas Division, Cause No. 03-06:CR-240-D. The Information charged Davis with one count of securities fraud. Davis pled guilty...

Jul 12
2006

Frederick Otto, and Bruce Strahan, Jr.

Frederick Otto Delin of Denison, Texas, and Bruce Strahan, Jr. of Colleyville, Texas, were indicted on July 12, 2006 in the 336th Judicial District Court in Grayson County, Texas, Cause No.'s 54697-15, and 54741-59, respectively, for selling unregistered securities and for selling securities...

Jul 10
2006

James Eugene Grave

James Eugene Graves of Claude, Texas, pled guilty on July 10, 2006 in the 287th Judicial District Court in Bailey County, Texas, Cause No. 2398, to one count of securing execution of a document by deception in connection with the sale of an investment in a timeshare sale/leaseback arrangement...

Jun 12
2006

Gerald Leo Rogers

On June 12, 2006, following a parole hearing, Gerald Leo Rogers , previously of Seattle, Washington, was ordered to serve 120 months in federal prison. At the hearing, evidence was presented establishing Rogers' involvement in the sale of $12 million in Premium Income Corp. investments to...

May 24
2006

Melvin Dean Marshall

On May 24, 2006, Case No. 04-15038-FRM, in the United States Bankruptcy Court for the Western District of Texas, Austin Division, an Agreed Final Judgment was entered against Melvin Dean Marshall of Marble Falls, Texas in connection with his Chapter 7 bankruptcy filing. Marshall's debt of $2,556...

May 9
2006

Steven Michael Herrera

Steven Michael Herrera of Plano, Texas, was indicted on May 9, 2006 in Dallas County, Texas, Criminal District Court No. 5, Cause No.'s F06-00562-GJR; F06-00563-GJR; F06-00564-GJR; and F06-00565-GJR, for money laundering and theft. Herrera allegedly falsely held himself out as an authorized...

May 9
2006

Norman Paul Cowart, Sr.

Norman Paul Cowart, Sr. , of Fort Worth, Texas, pled guilty on May 9, 2006 in the 27th District Court, Bell County, Texas, Cause No.'s 56138; 56139; and 56140, to violations of the registration requirements of the Texas Securities Act. Cowart was sentenced to 10 years confinement in the...

May 8
2006

Richard Muñoz, Jr.

Richard Muñoz, Jr. , of San Antonio, Texas, pled guilty on May 8, 2006, in the 379th Criminal District Court in Bexar County, Texas, Cause No. 2005 CR 3960 A, to misapplication of fiduciary property. On June 27, 2006, Muñoz was sentenced to 10 years in prison. Muñoz operated a securities day-...

Apr 25
2006

John Mark Eseppi

John Mark Eseppi of Dallas, Texas, pled guilty on April 25, 2006 in the 194th Judicial District Court in Dallas County, Texas, Cause No.'s F04-00189, and F04-00197, to engaging in fraud in connection with the sale of securities issued by Associates Capital Management Corp. dba ACM Yield Hedge...

Apr 20
2006

James L. Slayton

James L. Slayton of Port Lavaca, Texas, as President, Director, and Owner of Mariah Resources, Inc., was indicted on April 20, 2006 in the United States District Court, Southern District of Texas, Victoria Division, Cause No. V-06-38, for mail fraud. Slayton marketed and sold interests in the...

Apr 17
2006

Larry Joseph Bolden

Larry Joseph Bolden of Austin, Texas, was indicted on April 17, 2006 in the 331st Judicial District Court in Travis County, Texas, Cause No. D1DC06900244 for forgery and aggregated theft of over $100,000. Bolden allegedly forged wire transfer authorizations and checks to transfer money from...

Apr 4
2006

Norman Paul Cowart, Sr

Norman Paul Cowart, Sr. , of Fort Worth, Texas, pled guilty on April 4, 2006 in the 43rd District Court, Parker County, Texas, Cause No. CR04-0232 to securities fraud in connection with the sale of stock of OLU.com, Inc. Cowart was sentenced to 10 years confinement in the Institutional Division...

Apr 3
2006

Bobby E. Hearn

Bobby E. Hearn , of Ft. Worth, Texas, pled guilty on April 3, 2006 in the Tarrant County Criminal District Court, No. 3, Cause No.'s 0975518D, and 0971226D, for selling securities at a time when he was not registered with the Texas Securities Commissioner and theft of $1,500 - $20,000. Hearn...

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