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Have You Invested In An Unregistered Security?

By the time he reached his 30s, William John Howey was an accomplished, self-made man, with an impressive resume that featured sales of insurance, automobiles, land, and produce in places as varied as Illinois, Oklahoma, Kansas City, Mexico, and Florida.  Beginning in 1908, Howey merged two of his endeavors — land development and citrus growing […]

By |April 4th, 2017|Uncategorized|0 Comments

Protecting Elderly Investors From Fraud: Brokerage Firms And Securities Industry Professionals Must Take Extra Steps To Protect The Savings Of Senior Citizens

According to the Financial Industry Regulatory Authority (“FINRA”), the number of Americans who have retired or are growing close to the point of retirement is rapidly expanding.  The population segment comprised of those who are 65 or older is expected to nearly double in size within the years ahead.  By 2030, almost 20% of all […]

By |July 19th, 2016|Uncategorized|0 Comments

Letter Opinion, Judgment, And Findings Of Fact And Conclusions Of Law: Second State District Court Case That Proceeded To Trial

Our most recent blog posting addressed allegations made on behalf of investors in connection with a proceeding based in State District Court, Brown County, Texas. This blog follows up on that posting; it discusses the “Letter Opinion” the trial court issued after the trial came to a conclusion. Additionally, it provides a brief overview of […]

By |June 30th, 2016|Uncategorized|0 Comments

Allegations And Assertions Made In Connection With Second Case That Went To Trial: Texas Securities Act, Common Law Fraud, And Breach Of Contract

Recent blog postings have addressed appellate arguments we have advanced in connection with a case that went to trial in State District Court, Lubbock County, Texas.  This blog posting focuses on a case that was similar in many respects; it proceeded to trial in State District Court, Brown County, Texas.  In both instances, we were […]

By |June 27th, 2016|Uncategorized|0 Comments

Summary Of The “Verdict,” The Judgment, And The Amended Findings Of Fact And Conclusions Of Law Relating To State District Court Trial, Lubbock, Texas

Two blogs were recently posted regarding an investment fraud case that proceeded to trial in Texas State District Court, the Honorable William Sowder presiding.  As a means of expanding on those postings, this blog has been constructed; it addresses the following: A) the “verdict” which was issued by Judge Sowder shortly after the trial concluded; […]

By |June 14th, 2016|Uncategorized|0 Comments

Protecting Senior Investors From Misconduct Within The Securities Industry

Elderly investors have frequently been targeted by rogue stock brokers, along with salesmen who do not even possess a license that allows them to sell securities.  In response to the widespread character of the deceptive practices that have been directed at seniors (to include older workers who are about to retire), securities industry regulators have […]

By |June 2nd, 2016|Uncategorized|0 Comments

Further Discussion Of Appellate Court Brief Addressing Securities Law Claims, As Well As Common Law Fraud Allegation

A blog was recently posted that provided basic information associated with a trial over which Judge William Sowder, Lubbock County, Texas presided.  The underlying petition reflected a series of claims predicated on the Texas Securities Act (“TSA”); it also encompassed an allegation of common law fraud.  Set forth below are compact segments of the brief […]

By |June 1st, 2016|Uncategorized|0 Comments

Securities Fraud Appellate Briefs Filed On Behalf Of Senior Investors

Historically, the majority of our investment fraud cases have resulted in amicable settlements.  However, a settlement cannot always be achieved.  Over the past couple years, we have brought two securities fraud cases to trial.  On both occasions, we emerged victorious.  Pursuant to both trials, we prevailed on the various allegations of securities fraud that had […]

By |May 31st, 2016|Uncategorized|0 Comments

Securities Law Violations Associated With The Sale Of Microcap Securities: Protecting The Interests Of Investors

The Financial Industry Regulatory Authority (FINRA), a securities industry regulator that operates under the oversight of the Securities and Exchange Commission (SEC), recently announced that it imposed hefty sanctions in connection with a scheme to sell unregistered microcap securities, in violation of federal law.  Pursuant to this disciplinary action, FINRA fined Cantor Fitzgerald & Co. […]

By |January 15th, 2016|Uncategorized|0 Comments

Responsibilities & Obligations Of Brokerage Firms Conducting Private Offerings: Due Diligence & Reasonable Investigation

Private Offerings of Securities

Private offerings, which are also known as private placements, play a crucial role in the capital markets.  Every year, hundreds of billions of dollars are raised through private securities offerings.  Unfortunately, private offerings have repeatedly served as a source of immense concern for securities industry regulators.  All too frequently, large scale abuses […]

By |January 11th, 2016|Uncategorized|0 Comments