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Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
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2016 Texas Investor Guide:
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The Latest News & Publications
Texas Securities Commissioner John Morgan entered an Emergency Cease and Desist Order on Aug. 15 that requires Bobby Eugene Guess , an unregistered investment promoter, to stop engaging in fraud in marketing promissory notes tied to a wide array of businesses.
The emergency order cites...
Enticed by the promise of quick profits, investors in and around the small South Texas town of Alice sunk at least $5 million into Michael Anthony Collins ’ stock-trading operation only to see their money stolen outright or used to fund a Ponzi scheme.
Collins pleaded guilty to charges...
The following are summaries of administrative actions and orders taken from April 1 through June 30, 2016.Fuller Capital Management: Fine, Reprimand
Texas Securities Commissioner John Morgan on May 11 entered a Disciplinary Order that reprimanded and fined Fuller Capital Management of...
Texas Securities Commissioner John Morgan on May 23 entered a Consent Order against Post Oak Investment Management Inc. , a Houston investment adviser.
Post Oak Investment Management paid a $1,000 fine and was reprimanded for violating the State Securities Board’s “custody rule,” which...
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.