For Professionals & the Industry
Registration of Dealers & Investment Advisers
Regulation of Securities Offerings
Investing: Less Pain, More GainA baker's dozen articles on mutual funds, keys to retirement saving, the investing principles every investor should know – and a whole lot more.
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2017 Texas Investor Guide
The Latest News & Publications
Austin attorney Robert Allen Helms and his business partner, Janniece S. Kaelin , were each sentenced to 78 months in federal prison on Sept. 12 for stealing millions of dollars from investors who sank money into an oil-and-gas royalties scam.
Helms and Kaelin had pleaded guilty on April...
The Unicorn is paying the price for his financial crimes.
Nicholas Baratoff Jr. , a resident of the coastal village of Sea Cliff, N.Y., near New York City, paid $360,000 in restitution on Sept. 6 to an elderly Corpus Christi woman who invested in projects that were supposedly operated...
The Texas State Securities Board on Aug. 1 appointed Travis J. Iles as Securities Commissioner, effective Sept. 1.
Iles, a 16-year veteran of the agency, has served as Deputy Commissioner since September 2016. He previously served as Assistant Director of the Enforcement Division and...
Michael Keith Parish , a San Antonio investment adviser, has been suspended for 30 days and fined $5,000 for for violating Texas State Securities Board rules regarding custody of client funds.
Texas Securities Commissioner John Morgan entered the Disciplinary Order on July 18.
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.