Unregistered Solicitors Fined, Ordered to Cease and Desist

Texas Securities Commissioner John Morgan on May 31 entered consent orders that fined two unregistered individuals who solicited clients for Fuller Capital Management (FCM) of Fort Worth without being registered as investment adviser representatives. Ralph W. Lillard and Stanley Brian Catlin, both of Weatherford, near Fort Worth, were also ordered to cease and desist from acting...
Read More