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
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.
Lawrence Allen DeShetler, an investment adviser and former certified financial planner in The Woodlands, pleaded guilty to mail fraud June 8 in U.S. District Court in Beaumont, Acting U.S. Attorney Brit Featherston announced.
DeShetler fraudulently obtained $1.9 million from five...
Securities Commissioner John Morgan entered a Disciplinary Order June 2 that fined and reprimanded a Chicago-based securities dealer whose compliance officer repeatedly wired funds to individuals pretending to be a 75-year-old Texas client of the firm.
In three separate transactions in...
Nearly $341,000 in restitution has been paid to investors in a company whose fraud stretched from Southeast Asia to southeast Texas to West Africa.
Alan Derek Jernigan , who sold investments in deals that would purportedly export medical test kits to the Philippines and Malaysia, 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.