Enforcement Actions Criminal Civil

William L. Fenoglio , of Bowie, Texas, was charged with securities fraud in an aggregate amount exceeding $100,000 in Cause No. CR12968 in an indictment handed down by an Erath County Grand Jury on March 26, 2008. The indictment alleges that Fenoglio offered for sale "Security Agreements"issued by...

James O. Bowling , of Dallas, Texas, was indicted on February 14, 2008, in the 282nd District Court of Dallas County, Texas, Cause Nos. F-0800155-GJR, F-0800156-GJR, and F-0800175-GJR, on charges of securities fraud. Bowling allegedly engaged in fraud in connection with the offer for sale and sale...

Richard A. Taff , of Mission, Texas, was indicted on February 5, 2008, in the 93rd District Court of Hidalgo County, Texas, Cause Nos. CR-254-08-J and CR-255-08-J, on charges of selling unregistered securities, selling securities without a license, and securities fraud. Taff allegedly sold share...

On November 21, 2007, Alfred Renteria , of San Antonio, Texas, was indicted in the 187th District Court of Bexar County, Texas, Cause No. 2007-CR-10371 on charges of misapplication of fiduciary property, in an amount greater than $20,000 but less than $100,000, and securing execution of a document...

Gerald R. Kingston , of Irving, Texas, was charged with one count of conspiracy to commit securities fraud on November 13, 2007, in the U.S. District Court, Northern District of Texas, Dallas Division, Cause No. 3-07CR-344-N. Kingston was co-owner, along with Jeffrey C. Bruteyn, of United Financial...

Leland Anthony Patin of Dallas, Texas, was indicted on November 11, 2007, in the 5th Judicial District Court of Cass County, Texas, Cause Nos. 2007F00263, 2007F00264, and 2007F00265, on charges of securities fraud with the amount involved $100,000 or more, a first degree felony; sale of unregistered...

Ulric Jack Sweesy , aka Jack Taylor, of Richardson, Texas, pled guilty to mail fraud on October 24, 2007, in the U.S. District Court, Eastern District of Texas, Sherman Division, Cause No. 4:07CR169. Beginning in May 2002 and continuing through July 2005, companies owned, operated, or otherwise...

Vincent John Bazemore, Jr. , of Denton, Texas, pled guilty on October 19, 2007, in the U.S. District Court, Northern District of Texas, Dallas Division, Cause No. 3-07CR-312-M to securities fraud stemming from his role in fraudulent securities offerings based out of Dallas and Florida that raised...

George Neil Elliott of Belton, Texas, was indicted on October 17, 2007, in the 264th Judicial District Court of Bell County, Texas, Cause Nos. 61953 and 61954 on charges of sale of securities by an unregistered dealer or agent and sale of unregistered securities, in the form of the "TMT Investment...

Richard Thomas Ranspot of Dallas, Texas, was indicted on October 2, 2007, in the 380th Judicial District Court of Collin County, Texas, Cause No. 366-82429-07 on charges of securities fraud, with the amount involved over $100,000. As a sales agent for Aransas Oil Company, Inc., Mineral Leases of the...