Mar 10
2000

William Edward Stewart

On March 10, 2000, William Edward Stewart was sentenced to 20 years confinement in the federal penitentiary. Stewart had previously been indicted by a federal grand jury in the U.S.District Court in the Eastern District of Texas for conspiracy, wire fraud, aiding and abetting an offense and money...
Mar 6
2000

Order No. SSO-1389

In the Matter of First Financial Planners, Inc.; FFP Securities, Inc.; and FFP Advisory Services, Inc.

Mar 6
2000

Leonard Wayne

On March 6, 2000 Leonard Wayne was sentenced to 27 months in prison and ordered to pay $20,000 in restitution. Wayne was previously indicted for his alleged role in defrauding investors in connection with a securities offering by Pro-Tex Corporation. Wayne pled guilty to interstate transportation of...
Feb 17
2000

Order No. CAF-1388

In the Matter of the Investment Adviser Registration of Lifeway Financial Corporation and the Agent Registration of David Thomas Brunson

Jan 31
2000

Order No. CAF-1387

In the Matter of the Dealer Registration of Burke, Lawton, Brewer & Burke and the Agent Registration of Franklin Arden Burke

Jan 26
2000

Order No. CAF-1386

In the Matter of the Investment Adviser Registration of Felix Garcia

Jan 21
2000

Burrell Murchison and Richard Alan Murchison

On January 21, 2000, Burrell Murchison and Richard Alan Murchison were sentenced to 16 years confinement in the Texas Department of Criminal Justice, Institutional Division. The Murchisons had previously been indicted by a Harris County Grand Jury for securities fraud, and they were subsequently...
Jan 21
2000

Order No. FIN-1385

In the Matter of Mountain States Capital, Inc.

Jan 20
2000

Order No. CDO/FIN-1384

In the Matter of Charles W.L. Johnson, Jr. d/b/a Matrix Trading Group, Inc. d/b/a Spot Trading Group; Nhat Hoai Ngo d/b/a Matrix Trading Group, Inc. d/b/a Spot Trading Group; and Ricky Don Kincaid, Jr. d/b/a Matrix Trading Group, Inc. d/b/a Spot Trading Group

Jan 12
2000

Order No. CAF-1383

In the Matter of the Agent Registration of Aristides Dionysios Priakos

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