Tag Archives: James C. Tao

SEC Bars Sunbelt Securities Broker For Selling Away

James C. Tao of Houston Texas is a stockbroker formerly employed with Sunbelt Securities Inc. who has been barred by Securities and Exchange Commission (SEC) from acting as an investment advisor or broker or associating with any investment advisory or brokerage firm in any capacity according to an Order Instituting Administrative Proceedings Making Findings and […]

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Sunbelt Securities Stockbroker Charged With Fraud

James C. Tao and Donna Chen, of Houston Texas, stockbrokers and investment advisors formerly associated with Sunbelt Securities, were charged by Securities and Exchange Commission (SEC) in a Complaint alleging that Tao engaged in fraudulent securities transactions, and Tao and Chen offered and sold securities as unregistered brokers by selling away. Securities and Exchange Commission […]

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