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CPAs & Accounting Professionals: Helping Clients & Protecting Their Rights

Scenario No. 1: Summary Of Invaluable Assistance Provided By A CPA

More than a decade ago, Chris Bebel filed a case against a stockbroker, and his employer, after “irregularities” were flagged by a certified public accountant who was intent on protecting the interests of his client, Suzie T.  Framed in concise terms, Suzie T. had inherited […]

By |August 17th, 2015|Uncategorized|0 Comments

SEC Initiates Texas Ponzi Scheme Case Against Voight And DayStar Funding, LP

The U.S. Securities and Exchange Commission recently filed a complaint against Frederick Alan Voight and DayStar Funding, LP.  Through that complaint, which was filed in Houston, Texas, the SEC charged that Voight has raised more than $114 million from approximately 300 investors situated throughout the country in connection with a series of deceptive securities offerings.

In […]

By |August 5th, 2015|Uncategorized|0 Comments

Securities Industry Regulatory Authorities Take Action Against LPL Financial

The Financial Industry Regulatory Authority (“FINRA”) has ordered LPL Financial LLC, the largest independent broker-dealer in the United States, to pay $6.3 million in restitution, including interest, to certain mutual fund investors.  According to FINRA, LPL – along with several other brokerage firms – failed to waive mutual fund sales charges for certain charitable accounts […]

By |July 29th, 2015|Uncategorized|0 Comments