Aug 24
2000

Order No. CAF-1402

In the Matter of the Dealer Registration of American Express Financial Advisors,Inc.

Aug 23
2000

Sherry Keisling and H. Bradley Bertrand

On August 23, 2000, a Midland County, Texas grand jury returned 12 indictments against Sherry Keisling and H. Bradley Bertrand for violations of the Texas Securities Act and other violations. Keisling, doing business as Cornerstone Financial in Midland, Texas, sold approximately $1.5 million in...
Aug 3
2000

Terry Don Rader

On August 3, 2000, Terry Don Rader , 47, of Pittsburg, Texas, pled guilty to one count of an indictment in Cause no. 3:00-CR-191-T in the Dallas Division of the Northern District of Texas, charging a violation of Title 18, United States Code Section 1030(a)(4), computer fraud for exceeding his...
Jul 31
2000

Order No. SSO-1401

In the Mattter of TBX Resources, Inc. and Timothy Paul Burroughs

Jul 17
2000

Order No. SSO-1400

In the Matter of The Reserve Fund (U.S. Treasury Fund)

Jul 14
2000

John Patrick Brink

On July 14, 2000 John Patrick Brink pled guilty to one count of securities fraud and one count of misapplication of fiduciary property. Brink was alleged to have intentionally failed to disclose material information and to have misapplied investor funds in connection with a securities offering...
Jul 11
2000

Order No. CAF-1399

In the Matter of the Investment Adviser Registration of Pulliam & Cable, P.C. and the Agent Registration of Davis Jo Cable

Jul 10
2000

Order No. CP-1398

In the Matter of Tri-West Investment Club and Jason Kingsley

Jul 5
2000

Order No. CAF-1397

In the Matter of the Investment Adviser Registration of Charles Afton Richards

Jun 14
2000

James De La Garza

On the 14th day of June, 2000, James De La Garza was indicted by a Bexar County Grand Jury for securities fraud and related violations. Mr. De La Garza is alleged to have intentionally failed to disclose prior felony convictions and fabricating certificates of deposit in connection with a securities...
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