Stanley Brian Catlin, a CPA and Weatherford ISD school board trustee was fined $6,000 by the Texas State Securities Board (TSSB) for acting as an investment adviser representative for Fuller Capital Management since May 2010 when he was not registered as an investment adviser in violation of the Texas Securities Act.
According to the TSSB Order, Catlin solicited ten clients for Fuller Capital Management and received about $75,000 in commissions.
Catlin was registered as a broker with Cambridge Investment Research from November 2002-May 2010. He is not currently registered with FINRA.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900