News and Events from the Fort Worth Regional Office

The Fort Worth Regional Office posts news and events happening in its jurisdiction. You may sign up to receive email updates.

Date Title
Houston Man Charged with Conducting Multiyear Offering Fraud Targeting Fellow Members of his 'Success Club'
SEC Halts Fraudulent Offering of Private Fund Investments
FWRO Regional Director speaking at SIFMA event in Dallas
FWRO Regional Director speaking at Dallas Bar Association CLE luncheon
Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940
FWRO Regional Director speaking at CAIL Cybersecurity & Data Privacy Law Conference
Summary of Performance and Financial Information, Fiscal Year 2016
Select SEC and Market Data 2016
SEC FY 2016 Conference Spending
Businessman Settles Charges of Fraudulent EB-5 Offering
Company Settles Charges in First-Of-Its-Kind Whistleblower Retaliation Case
Invest Wisely: An Introduction to Mutual Funds
FWRO Director Shipchandler to speak at the Society for Corporate Governance Chapter Meeting
FWRO Director Shipchandler to Speak at Society for Corporate Governance Chapter Meeting in Houston
FWRO Director Shipchandler to speak at the Center for Professional Education’s SEC Conference
Semiannual Management Report (November 2016)
SEC Charges Matthew Carl Griffin and William Daniel Griffin with Fraud
Report on Modernization and Simplification of Regulation S-K  
FWRO Director Shipchandler to Speak at the Investment Adviser Association’s Compliance Workshop
Fiscal Year 2016 Agency Financial Report
FWRO Director Shipchandler to Speak at SEC Reporting & FASB Forum in Grapevine
FWRO Director Shipchandler to Speak at NACD Bump in the Night in Dallas
Report on Administrative Proceedings for the Period April 1, 2016 through September 30, 2016
SEC Charges Southlake Resources in Oil-And-Gas Scheme
Registration form for open-end management investment companies
FWRO Welcomes New Enforcement Attorney Jason Reinsch
Court Imposes Officer and Director Bars, Civil Penalties, Disgorgement, and Injunctions Against Promoters of Oil and Gas Scheme
SEC Charges Alternative Fuels Company and Former Executive for Key Omissions Regarding Technology
FWRO's Shipchandler and Peavler to Speak at UT Government Enforcement Institute
FWRO Welcomes New Enforcement Attorney Sarah Mallett
Marijuana Container Businessmen Charged in a Conspiracy to Defraud
FWRO Director Shipchandler to Speak at 4th Oil & Gas Anti-Corruption & Compliance Exchange
SEC Charges Tycoon Energy and its President with Running a $5.6 Million Oil and Gas Scheme
FAIR Inventory 2016
FAIR Act 2015 Inventory
SEC Charges Key Energy Services, Inc. with FCPA Violations
Purveyors of Fraudulent Oil and Gas Investments Found in Contempt of Court
FWRO Director Shipchandler and AD Conders to Speak at UTA CPE Day
Summary Judgment Win on All Claims in Quest Energy Offering Fraud
Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Current report pursuant to Section 13 or 15(d)
SEC Settles Charges Against Jeffery A. McCollum and JNL Oilfield Instruments, LLC in Oilfield Services Equipment Ponzi Scheme
Registration Statement Under the Securities Act of 1933
SEC Charges Chinese Fuel Storage Company and Its CFO with Fraud
Monthly Schedule of Portfolio Holdings of Money Market Funds
SEC Charges 'Frack Master' with Running an $80 Million Oil and Gas Fraud
SEC Halts Scheme Defrauding Pro Athletes
FWRO Associate Director David Peavler Wins Irving M. Pollack Award
Semiannual Management Report (May 2016)
Oil and Gas Investment Scheme Perpetrators Settle SEC Charges
FWRO Chief Trial Counsel to Discuss SEC Enforcement Initiatives
FWRO Staff Attorney to Speak at Arlington Public Library Monthly Library Program
FWRO Associate Regional Director to Speak at Hedge Fund Managers Operational Leaders Summit
FWRO Staff Attorneys to Speak at Annual DFW Fraud Conference
FWRO at CPA Society’s Convergence Conference Event
FWRO Director Shipchandler at National Association of Corporate Directors Event
FWRO Director Shipchandler to Speak at PLI Midyear SEC Reporting and FASB Forum
FWRO Director Shipchandler to Speak at Houston Bar Association Event
FWRO Director Shipchandler to Speak at Directors Roundtable Institute Events
FWRO Regional Trial Counsel to Speak at American Conference Institute
FWRO Director Shipchandler to Speak to Houston Chapter of the Institute of Internal Auditors
Report on Administrative Proceedings For the Period October 1, 2015 through March 31, 2016
FWRO Director Shipchandler to Discuss Civil Securities Enforcement and Exams
FWRO Director Shipchandler to Discuss Emergency Actions and Receiverships
FWRO Trial Counsel to Discuss Forensic Reconstruction of Fraud Scheme
FWRO Director Shamoil Shipchandler to Speak at Oil and Gas Supply Chain Compliance Event
SEC FY2015 Appendix B and C SCI Details
2014-2018 Strategic Plan
Glenn S. Gordon
Joy G. Thompson
FWRO Director Shamoil Shipchandler to Speak at DFW Financial Services Counsel Roundtable
FWRO Associate Director Marshall Gandy to Speak at SIPES Event
Fort Worth Director Shamoil Shipchandler to Speak at White Collar Defense Association
Company Misled Investors About Energy-Efficient Technology
Promoters of Fraudulent Oil and Gas Investments Found Liable On All Claims
Court Orders Nearly $2 Million Judgment from Attorney Who Defrauded Investors
SEC Charges Oil and Gas Company and Founder with Fraud
Summary of Performance and Financial Information, Fiscal Year 2015
FY 2017 Congressional Justification & FY 2015 Annual Performance Report and FY 2017 Annual Performance Plan
Select SEC and Market Data 2015
SEC FY2015 Supplement SCI
Planned Analysis of FY 2015 Inventory
SEC FY 2015 Conference Spending
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer
2015 Report and Certification
Semiannual Management Report (November 2015)
Fiscal Year 2015 Agency Financial Report
SEC FY 2014 Conference Spending
Securities and Exchange Commission Freedom of Information Act Reference Guide
Report on Administrative Proceedings for the Period April 1, 2015 through September 30, 2015
Systems Compliance and Integrity
Joint Staff Report: The U.S. Treasury Market on October 15, 2014
RedirectPage
Asset-Backed Securitizer Report
Semiannual Management Report (May 2015)
Registration statement of separate accounts organized as management investment companies
Report on Administrative Proceedings For the Period October 1, 2014 through March 31, 2015
Registration statement for closed-end management investment companies
Form for Submission of Electronic Exhibits for Asset-Backed Securities
Information About Registered Municipal Advisors
1001 to 1100 of 1561 items