Jun 14
2000

Bradley J. Farley

On the 14th day of June, 2000, Bradley J. Farley was indicted by a Bexar County Grand Jury for securities fraud and related violations in connection with a securities offering. Farley is alleged to have intentionally failed to disclose material facts including personal uses of investor-derived funds...
May 21
2000

Order No. CDO/FIN-1396

In the Matter of Eddie Mayo Oil Properties and Eddie Mayo

May 18
2000

John Colmant Rockett

On May 18, 2000 John Colmant Rockett pled guilty to two counts of mail fraud and seven counts of interstate transportation of stolen property. The plea stems from an indictment which charged Rockett with defrauding investors in connection with a securities offering. The investments were offered and...
May 17
2000

Order No. SUS-1395

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

May 12
2000

Dale Alan Pickard

On May 12, 2000, Dale Alan Pickard was indicted by a Harris County Grand Jury for securities violations. The cause numbers are 844425 and 844426 in the 338th Judicial District Court. If convicted, Mr. Pickard's sentence may be enhanced based upon prior securities convictions that occurred in May...
May 9
2000

Order No. CAF/SUS-1394

In the Matter of the Application for the Investment Adviser Registration of Thomas Raymond Temple

May 3
2000

Order No. REV-1393

In the Matter of the Revocation of the Agent Registration of Darrell Wayne Provost

Apr 28
2000

Order No. CDO-1392

In the Matter of U.S. Professionals, Inc., Benjamin Young, and Kirk Michael Streuling

Apr 12
2000

Order No. CP-1391

In the Matter of Wiltrust.com; Wiltrust.WS; Dave Dunn & Associates; and Dave Dunn

Mar 21
2000

Order No. CDO-1390

In the Matter of Ozgo Financial Services and Tom Ozgo

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