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The Latest News & Publications
This Investor Alert is based on the State Securities Board's updated report on Scams and Unsuitable Investments
Certain types of investments—even if they are legitimate—should always raise red flags. If an investment seems overly complicated, promises large returns with minimal risk, or...
LPL Financial LLC will pay a $450,000 fine to the State of Texas and repurchase certain securities it sold to investors, Texas Securities Commissioner Travis J. Iles announced April 11.
The Consent Order with Texas is part of national settlement between state securities regulators and...
Texas Securities Commissioner Travis J. Iles took emergency action April 9 to stop an international offering of cryptocurrency and foreign currency investments by a company using a phony address and falsely claiming it is registered as a broker-dealer and investment adviser.
William Neil “Doc” Gallagher , who promotes his investment business on Christian radio and in books like “Jesus Christ, Money Master,” has been arrested to face first-degree state felony charges of securities fraud and money laundering in Dallas County.
In a related action, the U.S....
About the Texas Securities Board
The State Securities Board is responsible for administering and enforcing the Texas Securities Act. The mission of the State Securities Board is to protect Texas investors. Consistent with that purpose, the Agency seeks to ensure a free and competitive securities market for Texas, increase investor confidence, and thereby encourage the formation of capital and the creation of new jobs in Texas.