For Professionals & the Industry
Registration of Dealers & Investment Advisers
The Latest News & Publications
Texas Securities Commissioner Travis J. Iles took emergency action on April 3 to stop the offering of a purported foreign currency trader promising a “safe haven” investment in a time when world markets are roiled by the COVID-19 pandemic.
According to the Emergency Cease and Desist...
LendingClub Corp. , a national online lending marketplace, has been fined $400,000 for the unregistered sales of loans during an almost five-year period.
Texas Securities Commissioner Travis J. Iles April 1 entered a Consent Order that reprimanded and fined LendingClub while also...
The COVID-19 pandemic has roiled securities markets in ways we have never experienced and is making financial decisions vastly more difficult than usual.
We want to assure Texans that our primary focus remains on the protection of retail investors, and we are actively taking steps to...
Brett Pittsenbargar, an Austin insurance agent who allegedly sold $9.3 million in fraudulent investments, was arrested Feb. 19 to face first-degree felony charges of securities fraud , money laundering , and theft .
A Travis County grand jury's Feb. 4 indictment of Pittsenbargar was...
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.