Articles

How Senior Advisors Help You…


When you are experiencing life with a loved one who can no longer independently care for himself or herself, finding the appropriate resources to assist and meet their needs can be overwhelming. Navigating the myriad of independent, assisted living and memory care communities can quickly add a lot on the to-do list. Not to mention the...
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Excessive Fees, False Statements Cited in Revocation of Dallas Advisor


Texas Securities Commissioner John Morgan on March 23 entered a Disciplinary Order that will revoke the registration of Sarah Helen Hancock, a Dallas investment adviser representative who withdrew grossly excessive amounts of money from clients’ accounts. Hancock provided at least one client with inaccurate account values to justify the amount she collected as management fees. Hancock’s...
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North Texas Advisor Suspended for Sale of Unsuitable Investment


Ronald Eugene Harrison, an investment adviser representative in Carrollton, has been suspended for 90 days and is required to repay a client $5,000, which represents a portion of the commissions he earned in the sale of an investment to the client. Texas Securities Commissioner John Morgan entered the Consent Order on Feb. 16. Harrison violated the...
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