For Professionals & the Industry
Registration of Dealers & Investment Advisers
2018 Texas Investor Guide
The Texas Investor Guide: Strategies for Investing Wisely and Avoiding Financial Fraud is regularly updated with new information about investing and avoiding financial fraud. It is available in Spanish. For free copies, provide a mailing address to firstname.lastname@example.org.
The Latest News & Publications
Phillip Michael Carter of Frisco was arrested Nov. 13 to face state fraud charges in connection with raising $17.5 million from nearly 100 Texas investors – many of them elderly – for real estate development projects in North Texas.
Shelley Noel Carter , Phillip Carter’s wife, was...
Texas Securities Commissioner Travis J. Iles has entered emergency actions against promoters of cryptocurrency mining investments who are aggressively recruiting sales agents through LinkedIn, Facebook, and other online marketing channels.
The Securities Commissioner entered emergency...
Brazos Securities Inc. of Dallas will pay a $20,000 fine to the State of Texas and pay $32,569 to a client who was charged excessive fees after being moved to an investment advisory account at the firm.
The Disciplinary Order , which Texas Securities Commissioner Travis J. Iles entered...
Texas Securities Commissioner Travis J. Iles entered a Disciplinary Order on Nov. 5 that levied a $25,000 fine on Trade-PMR Inc. , a provider of brokerage and technology services, for failing to know that two investment advisers using its services were not registered to render investment advice...
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.