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...

Dec 18
2000

Steven Frank Lovato: Sentenced, 6 Years

On December 18, 2000 Steven Frank Lovato was sentenced to six years in state prison after his conviction on charges of securities fraud and misapplication of fiduciary property in the 263rd District Court of Harris County, Texas.

Lovato was a day trader who obtained the retirement funds...

Dec 14
2000

Terry Don Rader: Sentenced, 4 Years

On December 14, 2000, Terry Don Rader of Pittsburg was sentenced by Federal Judge Robert B. Maloney to four years in prison to be followed by three years supervised release and to pay $2.4 million in restitution in connection with his conviction for violating Title 18, United States Code Section...

Dec 14
2000

Russell Erxleben: Receivership Action

On December 14, 2000 the Honorable Paul Davis of the 250th District Court of Travis County, Texas approved the first distribution of assets to investors defrauded by Russell Erxleben and Austin Forex International, Inc.

Janet Mortenson, the receiver appointed pursuant to an action...

Nov 1
2000

Mario Alberto Garza: Guilty Plea

On November 1, 2000, in the United States District Court for the Western District of Texas, San Antonio Division, Mario Alberto Garza pled guilty to two counts of uttering forged securities of an organization, in violation of 18 USC 513(a).

The penalty for each offense is a maximum term...

Oct 31
2000

James F. Ricker: Convicted

On October 31, 2000, in the 175th Judicial District Court of Bexar County, James F. Ricker was convicted of Misapplication of Fiduciary Property and unlawfully dealing in securities in connection with the issuance of promissory notes to the public.

Ricker agreed to repay $6 million and...

Oct 16
2000

Ronald Joe Blackledge: Sentenced, 12 Years

On October 16, 2000, Ronald Joe Blackledge of Alvarado was convicted and sentenced to 12 years in prison and $388633.71 restitution in connection with convictions for Securities Fraud related to oil and gas offerings made through AllTex Petroleum of Alvarado.

Blackledge was convicted of...

Oct 12
2000

Edgar Davis Hartigan: Sentenced, 5 Years

On October 12, 2000, Edgar Davis Hartigan was sentenced to five years confinement in the Texas Department of Criminal Justice after a conviction for the offense of securities fraud.

Operating on the Internet, Hartigan offered high interest investments to the public in the form of...

Sep 26
2000

David Carl McIntosh: Sentenced, 168 months

On September 26th, 2000, Chief United States District Judge James R. Nowlin entered judgment against David Carl McIntosh in connection with the conviction of Mr. McIntosh, after a jury trial, of numerous counts of wire fraud, mail fraud, conspiracy and money laundering.

The investment...

Sep 18
2000

Russell Erxleben: Sentenced, 7 Years

On September 18, 2000, United States District Court Judge James R. Nowlin sentenced Russell Erxleben to a total of 84 months in prison, $28 million in restitution and a one million dollar fine for engaging in securities fraud and conspiring to engage in wire fraud, money laundering and mail...

Aug 31
2000

Robert H. Shields

On August 31, 2000, the Texas Court Of Appeals, Third District-Austin, issued a decision upholding the issuance of an injunction and the award of restitution in the amount of $997,195.21 against Robert H. Shields ,for engaging in securities fraud. The appeal raised 12 points of claimed error and...

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