Enforcement Actions Criminal Civil

Sep 12
2001

Ronalee Levy Orlick, Ihor A. Gary Humesky, Montgomery Lee Merrell, Sharon Jane Hutchinson, Kenneth Dale Ledford

On September 12, 2001, a Tarrant County Grand Jury returned 15 indictments against Ronalee Levy Orlick , Vice-President of American Benefits Services, Inc., of Wellington, Florida; Ihor A. Gary Humesky , President of U.S. Investors Group, Inc., of Clearwater, Florida; Montgomery Lee Merrell , of CMI...
Jul 25
2001

Earl Dean Osbourn, Jr.

Earl Dean Osbourn, Jr. , was indicted by a Randall County Grand Jury for securities fraud in connection with the issuance of securities related to a Dallas company called Nature's Remedies, Inc. The allegations include the non-disclosure of prior securities fraud and tax related convictions. The...
Jun 22
2001

Charles E. Cole

On June 22, 2001 a Johnson County Grand Jury handed up two indictments to the 249th District Court, against Charles E. Cole also known as Chuck Cole for 56 counts of selling unregistered securities and dealing in securities without registration. The case numbers are F34939/34940. A trial date has...
May 24
2001

Sherry W. Keisling and H. Bradley Bertrand

On May 24, 2001 in the 385th Judicial District Court for Midland County, Texas, Sherry W. Keisling , formerly of Midland and H. Bradley Bertrand , of Blachard, Oklahoma, were ordered to pay $113,000 and $125,000, respectively, to investors in connection with the unlawful sale of securities. The...
Mar 26
2001

H. Bradley Bertrand and Sherry W. Keisling

On March 26, 2001, H. Bradley Bertrand and Sherry W. Keisling pled no contest to charges of violations of the Texas Securities Act in the 385th Judicial District Court for Midland County, Texas. Both defendants were charged in connection with the sales of certificates viaticated insurance benefits...
Mar 5
2001

Charles E. Cole aka Chuck Cole

On March 5, 2001 in Johnson County, Texas, a warrant for the arrest of Charles E. Cole aka Chuck Cole (DOB 6-17-38) was executed, for selling unregistered securities between May and November, 2000. Operating through a company called Cole Springer Engine and also called Cole Springer Energy Pilot and...
Feb 22
2001

Hollis Larenzo Maxfield

On February 22, 2001, Hollis Larenzo Maxfield pled guilty to Wirefraud, count 75 of an indictment, in the United States District Court for the Northern District Of Texas--Dallas Division, in cause number 3-00: CR-389-L(4). In connection with his guilty plea, Mr. Maxfield admitted that he, along with...
Feb 22
2001

Brian Russell Stearns

On February 22, 2001, Judge John Dietz of the 53rd District Court, Travis County, Texas, issued orders of receivership over the assets of Brian Russell Stearns and Trans-Global Asset Management, Inc. in connection with cause number GV 100254, State Of Texas v. Brian Russell Stearns, et al. Earlier...
Feb 12
2001

Bradley J. Farley

On February 12, 2001 before Judge Bert Richardson of the 379th Criminal District Court of Bexar County, Texas, Bradley J. Farley entered a no contest plea to Misapplication of Fiduciary Property and selling unregistered securities in cause number 2000-CR-3149. The case stemmed from the sale of...
Jan 18
2001

Mario Alberto Garza

On January 18, 2001 in the United States District Court for the Western District of Texas, San Antonio Division, Mario Alberto Garza was sentenced in connection with his conviction for two counts of uttering forged securities of an organization, in violation of 18 USC 513(a). Mr. Garza was sentenced...