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Securities Division Newsletters
December 2016-January 2017 Newsletter
In this issue, we report on the sentencing of Charles Caleb Fackrell to more than five years in federal prison after pleading guilty to one count of securities fraud. He was also ordered to repay nearly $820,000 to his victims. We also encourage readers to view our YouTube channel where we have posted several informative how-to videos, including ones detailing the qualifications to be a notary, the process to become a notary, how to complete an application to become a North Carolina Notary Public, and how to file corporate annual reports. With tax filing season just around the corner, we include information about the Tax Identity Theft Awareness Week (Jan 30 – Feb 3) activities that the Federal Trade Commission (FTC) has planned. We also include a link to a podcast about crowdfunding that you won’t want to miss. We include news about Richard Wyatt Davis, Jr., a Mecklenburg County man who is facing federal charges in connection with an investment scheme that defrauded 100 victims of $19 million. We include informational bulletins from the Securities and Exchange Commission (SEC) dealing with the top investment tips for 2017 as well as how to tell if your broker is conducting excessive trading in your account merely for the purpose of generating sales commissions for him- or herself. We also include a summary report of an in-depth analysis of US investors conducted by the Financial Industry Regulatory Authority (FINRA). We also include our regular Calendar of Upcoming Events, On The Docket, and News from the Regulators features.