August 19, 2015- Dallas, Texas Andrew Lee Siegel, 56, a Dallas attorney pleaded guilty to felony offenses involving copyright infringement and investor fraud and was sentenced by US District Judge…
read moreAugust 18, 2015-Austin, Texas John Morgan, Texas Securities Commissioner entered a Consent Order finding that Citigroup Global Markets, Inc. failed to monitor the registration status of sales assistants, some of…
read moreAugust 4, 2015-Austin, TX According to the Texas State Securities Board, antique dealer Rose Marie O’Reilly was indicted in U.S. District Court for defrauding investors in flamboyant schemes to acquire…
read moreJuly 28, 2015 TD Ameritrade agreed to pay $300,000 to the state of Texas for failing to enforce internal rules requiring customers to be notified when money is withdrawn from…
read moreJanuary 2018 Update-James E. Warr was convicted of Texas securities fraud and other felonies, including money laundering, and sentenced to 15 years in prison. July 16, 2015-Austin, Texas James Elton…
read moreThe Texas Department of Insurance provides an Information Center on their website as a resource for investors and consumers. Investors considering the purchase of an annuity can learn a great…
read moreJune 23, 2015-Austin, Texas John Morgan, Texas Securities Commissioner, entered a Cease and Desist Order against Petro-San Resources LLC and Sean Patrick Riley of San Antonio, Texas, alleging that they…
read moreJune 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…
read moreJune 3, 2015-Austin, Texas WIlliam Allen Risinger, of Round Rock, Texas, was indicted May 19, 2015 on allegations that between 2010-2014 , through his company RHM Exploration, he promoted and sold…
read more