Enforcement Actions Criminal Civil

Ronald Dean Yeasley , of Round Rock, Texas, was indicted on June 7, 2005 in the 26th Judicial District Court in Williamson County, Texas, Cause No. 05-597-K26, on one count of offering for sale and selling a security without having been duly registered as a securities dealer, agent, or salesman with...

Ricky Don Kincaid, Charles William Luckie Johnson, Jr., Nhat Hoai Ngo, and Demian John Cratty were convicted of tax fraud. The four were charged with acquiring investors’ funds in Peyton Walher Financial Group, Wilcox Energy LLC, Trump Energy, LLC and other entities, converting those funds to...

Richard Muñoz, Jr. , of San Antonio, Texas, was indicted on May 25, 2005 in the 379th Criminal District Court in Bexar County, Texas, Cause No. 2005 CR 3960 A, for misapplication of fiduciary property and theft. Roberto Riojas , of Castroville, Texas, was indicted on May 25, 2005 in the 379th...

Larry Wayne Tyler , of Fort Worth, Texas, pled guilty on May 19, 2005 in the United States District Court, Northern District of Texas, Cause Number 3:04-CR-145-H(01) to Securities Fraud, and Mail Fraud. He was sentenced to 48 months for securities fraud and 48 months for mail fraud, to be served...

Jacob Cody Evans , of Mabank, Texas, was indicted on May 12, 2005 in the 422nd District Court in Kaufman County, Texas, Cause No. 23562-422, on one count of theft between $100,000 and $200,000 and four counts of misapplication of fiduciary property between $1,500 and $20,000.

Charles Wayne Kilway , of N Richland Hills, Texas, pled guilty on May 3, 2005 in the 203rd District Court, in Dallas County, Texas, Cause Numbers F03-00318, and F03-00319 to Selling Securities without being a Registered Dealer and to the Sale of Unregistered Securities. He was sentenced to 10 years...

Bobby E. Hearn , of Ft. Worth, Texas, was indicted on April 28, 2005 in the Tarrant County Criminal District Court, No. 3, for selling securities at a time when he was not registered with the Securities Commissioner and for selling unregistered securities.

Thomas J. Smith , of Grand Rapids, Michigan, President of Trade Partners, Inc. pled guilty on April 22, 2005 in the United States District Court, Western District of Michigan, Cause Numbers 1:04-CR-174-01; and 1:04-CR-181-01, to Securities Fraud, Mail Fraud, and Interstate Transportation in Aid of...

From in or about April 2002, to in or about November 2003, William Edward Glass of Austin, Texas directed the sale of investment opportunities. Glass raised approximately $250,000 from an investor. Glass represented to the investor that their money would be placed in various investment opportunities...

James Alan Crump of Houston, Texas, was indicted on April 11, 2005 in the 337th District Court in Harris County, Cause No. 1023063 for the sale of a security by an unregistered dealer.