Enforcement Actions Criminal Civil

Sep 26
2000

David Carl McIntosh: Sentenced, 168 months

On September 26th, 2000, Chief United States District Judge James R. Nowlin entered judgment against David Carl McIntosh in connection with the conviction of Mr. McIntosh, after a jury trial, of numerous counts of wire fraud, mail fraud, conspiracy and money laundering. The investment scheme...
Sep 18
2000

Russell Erxleben: Sentenced, 7 Years

On September 18, 2000, United States District Court Judge James R. Nowlin sentenced Russell Erxleben to a total of 84 months in prison, $28 million in restitution and a one million dollar fine for engaging in securities fraud and conspiring to engage in wire fraud, money laundering and mail fraud...
Aug 31
2000

Robert H. Shields

On August 31, 2000, the Texas Court Of Appeals, Third District-Austin, issued a decision upholding the issuance of an injunction and the award of restitution in the amount of $997,195.21 against Robert H. Shields ,for engaging in securities fraud. The appeal raised 12 points of claimed error and all...
Aug 25
2000

Eldon D. Young and Michael D. Young

On August 25, 2000, Eldon D. Young and Michael D. Young were sentenced to 10 years probation and $138,000 restitution each, in the 291st Judicial District Court Of Dallas. The cases resulted from an investigation into the offering of interests in the Chase S.A. Distribution Venture, L.C. and the...
Aug 23
2000

Sherry Keisling and H. Bradley Bertrand

On August 23, 2000, a Midland County, Texas grand jury returned 12 indictments against Sherry Keisling and H. Bradley Bertrand for violations of the Texas Securities Act and other violations. Keisling, doing business as Cornerstone Financial in Midland, Texas, sold approximately $1.5 million in...
Aug 3
2000

Terry Don Rader

On August 3, 2000, Terry Don Rader , 47, of Pittsburg, Texas, pled guilty to one count of an indictment in Cause no. 3:00-CR-191-T in the Dallas Division of the Northern District of Texas, charging a violation of Title 18, United States Code Section 1030(a)(4), computer fraud for exceeding his...
Jul 14
2000

John Patrick Brink

On July 14, 2000 John Patrick Brink pled guilty to one count of securities fraud and one count of misapplication of fiduciary property. Brink was alleged to have intentionally failed to disclose material information and to have misapplied investor funds in connection with a securities offering...
Jun 14
2000

James De La Garza

On the 14th day of June, 2000, James De La Garza was indicted by a Bexar County Grand Jury for securities fraud and related violations. Mr. De La Garza is alleged to have intentionally failed to disclose prior felony convictions and fabricating certificates of deposit in connection with a securities...
Jun 14
2000

Bradley J. Farley

On the 14th day of June, 2000, Bradley J. Farley was indicted by a Bexar County Grand Jury for securities fraud and related violations in connection with a securities offering. Farley is alleged to have intentionally failed to disclose material facts including personal uses of investor-derived funds...
May 18
2000

John Colmant Rockett

On May 18, 2000 John Colmant Rockett pled guilty to two counts of mail fraud and seven counts of interstate transportation of stolen property. The plea stems from an indictment which charged Rockett with defrauding investors in connection with a securities offering. The investments were offered and...