Dec 4
2014

Tracy Morgan Spaeth, a former investment adviser representative in Lubbock, pleaded no contest to the sale of unregistered securities on Dec. 4, 2014, in Lubbock County State District Court. Spaeth's sentence was suspended and he was placed on eight years of community supervision. The Texas Securities Commissioner entered a Disciplinary Order in 2013 that suspended Spaeth for two years and ordered him to complete restitution payments to clients.