Office of the Kansas Securities Commissioner

2009

Overland Park Insurance Agent Found Guilty of Securities Fraud
Texas Resident Found Guilty of Securities Fraud
Top 10 Investor Traps
Criminal Charges Filed Against Danny M. Moore
Brokerage Firms Finalize Agreements to Settle Auction Rate Securities Case
Criminal Charges Filed Regarding Wild West World
Securities Commissioner Adopts Regulations to Protect Senior Investors
Kansas Securities Examiner Receives Award

2008

Kathy Orender Hadley, Wichita Resident Sentenced of Securities Fraud
Auction Rate Securities Investors - Contact Firms About Buyback Offers
Kansas Securities Commissioner Cautions Main Street Investors Against Making Uninformed, Sudden Decisions Amid Wall Street Crisis
Kathy Orender Hadley, Wichita Resident Convicted of Securities Fraud
Stephen C. Langhofer, Convicted of Securities Fraud
Kansas Securities Commissioner Chris Biggs Reminds Investors That Scams Often Hide Behind the Headlines

2007

Lenexa Investment Adviser James A Freese Sentenced to 86 Months in Prison
Lenexa Investment Adviser James A. Freese Pleads Guilty
Shawnee County Veterinarian, Donald Atteberry, Sentenced for Securities Fraud Convictions in Shawnee County
Kansas Securities Commissioner Identifies Top 10 Traps Facing Investors
Shawnee County Veterinarian,Donald Atteberry,Guilty of Securities Fraud
Securities Commissioner cautions Kansans to be wary of e-mail scams
Eric Rabicoff, Overland Park Resident Sentenced to 32 Months in Prison for Securities Violations and Theft
Johnson County Investment Adviser Arrested

2006

Overland Park Investment Adviser Suspended
Scott Brian Kaye, Wichita Resident Sentenced to 18 Months in Prison for Securities Fraud
Where legitimate business flourishes Scamsters follow
Securities Commissioner fines Waddell & Reed $2 million
Scott Brian Kaye, Wichita Resident Found Guilty of Securities Fraud
James A. Hall, Former Overland Park Adviser agrees to Consent Order with Kansas Securities Commissioner
Office of the Kansas Securities Commissioner Releases “Unlucky 13” List of Investor Traps for 2006
Former Insurance Agent, Jeffrey Lopez, Serves Prison Sentence for Securities Convictions
Edward Jones Agrees to Consent Order with Kansas Securities Commissioner
Former Insurance Agent, Jeffrey D. Lopez, Sentenced to Prison for Securities Fraud Convictions in Montgomery County

2005

Wichita Man Arrested on Securities Fraud Charges
Jeffrey D. Lopez Guilty of Securities Fraud in Montgomery County
October 12, 2005; Kansas Securities Commissioner extends exemption for people displaced by Hurricane Katrina
October 7, 2005; Office of the Kansas Securities Commissioner Announces System Fee Waiver & Reduction For Investment Advisers
September 28, 2005: Former Securities Professional Sentenced for Securities Fraud in Overseas Trading Scam
August 24, 2005; Shawnee County Resident Arrested on Securities Fraud Charge
August 4, 2005:Johnson County Man Convicted of Securities Fraud in High Yield Investment Program Scam
July 29, 2005: Commissioner Warns of Phony Regulators
May 11, 2005: Three Sentenced for Kansas Loan Brokers Act Violations
May 3, 2005: Kiger Sentenced to 48 Months in Prison for Securities Fraud in Multistate Day Trading Scam
April 6, 2005: Schmidberger Sentenced in Ellis & Rawlins Counties for Securities Fraud
April 4, 2005: Wichita Stockbroker, Ronald Reeves, Sentenced on Securities Fraud Charges
March 14, 2005: Flora Gets Prison for Securities Registration Violations
February 17, 2005: Olathe Man Convicted of Securities Fraud in Multistate Day Trading Scam
February 7, 2005: Hays Man Convicted of Securities Fraud in Rawlins County
February 1, 2005: Hays Man Convicted of Securities Fraud in Ellis County
January 11, 2005: Secret Offshore Investment Offered in Chanute

2004

November 17, 2004: Tonganoxie Woman Sentenced in Securities Fraud Case
October 26, 2004: Garden City Man Sentenced in Multi-State Securities Fraud Scheme
October 26, 2004: Defendant Convicted of Securities Registration Violations
October 13, 2004: Praeger and Biggs Issue Warning About Viatical Investments, Commissioners Investigate Marketing Practice of Mutual Benefits Corporation
September 20, 2004: Finney County Fraudster Pleads Guilty to Multi-state Investment Scam
August 26, 2004: Kansas Participates in Settlement With Deutsche Bank Securities and Thomas Weisel Partners
August 19, 2004: Investor Alert: Answering Machine Stock Scam
August 19, 2004: Wichita Man Sentenced for Securities Fraud
July 21, 2004: Wichita Man Sentenced to 13 Months for Investment Scams
June 18, 2004: Manhattan Resident Sentenced to Securities Fraud Charges
May 27, 2004: Securities Commissioner Concerned About Lack of Communication
May 6, 2004: Friend or Fraud? Scams That Target Groups
May 3, 2004: Manhattan Resident Pleads Guilty to Securities Fraud Charges
April 12, 2004: Topeka Resident Arrested On Securities Fraud Charges
March 5, 2004: Manhattan Resident Arrested On Securities Fraud Charges
February 17, 2004: Moundridge Man Receives Prison for Internet Scam
February 5, 2004: Invest in Information to Protect Your Nest Egg
January 28, 2004: Wichita Man Sentenced to 50 Months for Oil and Gas Scam
January 23, 2004: Kings REIT Promoter Arrested; SEC, FBI and United States Postal Inspector Join Investigation
January 21, 2004: Office Of The Kansas Securities Commissioner Seeks To Sanction Alleged Stock Fraud
January 14, 2004: Securities Commissioner Warns Kansans Of “Top Ten” Investment Scams To Watch Out For In 2004

2003

November 14, 2003: Kansas Resident Arrested on Securities Fraud Charges
October 31, 2003: Kansas Receives Over $4 Million from Wall Street Firms
September 11, 2003: Wichita Resident Guilty of Securities Fraud
September 4, 2003: Investigate Before You Invest: Senior Citizen Investor Alert
April 29, 2003: Kansas to Receive $4 Million from Wall Street Firms
April 25, 2003: Kansas to Impose Harsher Penalties for Securities Fraud
March 18, 2003: Securities License Revoked for Lawrence Insurance Agent

2002

December 10, 2002: $1 Million Oil and Gas Scheme Sends Wichita Man to Prison
October 28, 2002: Harsher Criminal Penalties Proposed for Securities Fraud
October 23, 2002: Topeka Man Fined $28,500 for Company’s Unregistered Stock
October 17, 2002: Issuers of Viatical Investments Required to File Notice, Agents Required to Register and Pass Exams
October 15, 2002: Texas Man Sentenced in Kansas Oil and Gas Securities Fraud
September 27, 2002: Goodland Resident Found Guilty of Securities Fraud
August 27, 2002: "Prime Bank" Investment Promoter Pleads Guilty
August 26, 2002: Third-Annual List of "Top Ten" Investment Frauds Published
July 31, 2002: Issuers of Viatical Investments Required to File Notice, Agents Required to Register and Pass Exams
July 18, 2002: Moroccan Sentenced In Investment Scheme
June 18, 2002: Salina Woman Sentenced for Securities Fraud
June 14, 2002: Overland Park Man Sentenced in Multi-State Securities Case; Ordered to Pay Back Almost $1 million to Kansas Investors
May 2, 2002: Kansans Lose Almost $1 Million: Promoter Convicted for Selling Promissory Notes
April 12, 2002: Salina Woman Convicted of Securities Fraud
April 4, 2002: Insurance Agent Convicted In Investment Scheme
April 3, 2002: Moroccan Convicted In Investment Scheme
January 17, 2002: Investors Warned About Prime Bank Investment Schemes

2001

December 7, 2001: Former Insurance Agent Bilks Investors in $1.2 Million Fraud
August 10, 2001: State Shuts Down Oil and Gas Scheme
May 24, 2001: Insurance Agent Sentenced for Securities Fraud
May 14, 2001: Abilene Broker Sentenced for $1.3 Million Investment Fraud
April 20, 2001: Restaurant Promoter Sentenced for Securities Felony
February 7, 2001: Investors Warned About "Callable" Certificates of Deposit

Copyright 2005 . Office of the Kansas Securities Commissioner
618 S. Kansas Avenue . Topeka, KS 66603-3804 . Voice: 785.296.3307 . Fax: 785.296.6872
Chris Biggs, Commissioner . Scam Hotline: 800.232.9580