February 1, 2016- Austin, Texas Texas Securities Commissioner John Morgan ordered Mississippi based SoBell Corp. and its owner, Andrew Gamber of Jonesboro, Arkansas, to stop selling an investment called “Pension…
read moreNovember 24, 2015- Wichita, Kansas The Topeka Capital-Journal reports that Kansas businessman Paul Carageannis, 56, who had previously entered a plea of no contest to one count of felony fraud…
read moreJuly 1, 2015 Hector Perez , a/k/a Bruce Johnson , entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…
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 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 28, 2015 Iowa Insurance Commissioner Nick Gerhart issued a cease and desist order to the following Austin, Texas residents: Carson Energy, Inc. …
read moreAugust 3, 2015-Hoiuston, Texas Frederick Alan Voight of Richmond, Texas, was charged by the Securities and Exchange Commission with defrauding over 300 investors in a $114 million Ponzi scheme. Investors…
read moreJuly 2015 The Wisconsin Division of Securities registers and monitors the activities of broker-dealers, securities agents, investment advisers, and investment adviser representatives. It also conducts field audits and investigates complaints…
read moreJuly 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…
read more