Oct 7
2013
2013
Tracy Morgan Spaeth was arrested Oct. 7 at the Lubbock office of his business, Uncommon Wealth Management LLP, and charged with one count of securities fraud, two counts of the sale of securities by an unregistered dealer or agent, and two counts of the sale of unregistered securities.
Spaeth allegedly starting selling alternative investments soon after his registration as an investment adviser representative was suspended for two years.