September 11, 2015 The Investment News reports that NEXT Financial Group, Inc. , a Houston based brokerage firm founded in 1999, is up for sale. NEXT Financial has over 700…
read moreSeptember 3, 2015- Boca Raton/Plantation, Florida The Securities and Exchange Commission announced that Manny J. Shulman and David K. Herschman were charged with violating the securities laws for their involvement…
read moreSeptember 8, 2015- North Palm Beach, Florida Bankrate Inc (RATE.N) resolved an action filed by the U.S. Securities and Exchange Commission that it engaged in accounting fraud to ensure that…
read moreSeptember 15, 2015–Dallas, Texas In a Press Release, the FBI reports that Wade Lawrence, 43, of Dallas faces up to five years in prison for securities fraud in connection with offering…
read moreJuly 14, 2015-Columbia, South Carolina The Securities Commissioner of South Carolina entered a Cease and Desist Order against Prospect, Kentucky-based Willis-Stafford Corporation in connection with a proposed offering of stock for…
read moreAugust 25, 2015- San Antonio, Texas Lea Ann Blystone, 48, of San Antonio was sentenced to seven years in federal prison in connection with a $1.4 million wire fraud scheme.…
read moreSeptember 1, 2015- Sherman, Texas Thomas W. Lucas, Jr. , 35 of Plano, Texas was sentenced to 210 months in federal prison following his conviction on 7 counts of wire…
read moreSeptember 4, 2015- Austin, Texas Texas Securities Commissioner John Morgan entered a Disciplinary Order against Dallas based WFG Investments, Inc. , reprimanding and fining the company $175,000 for failing to…
read moreSeptember 4, 2015- Austin, Texas The Texas State Securities Board (TSSB) announced that former Corpus Christi investment adviser Kenneth Wayne Graves was sentenced to concurrent 7 year state prison terms…
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