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(October 22, 2020) Securities Commissioner Travis J. Iles entered an Emergency Cease and Desist Order to shut down an illegal bait-and-switch scheme involving fine wines. The order names Charles Winn, LLC, a UK firm falsely claiming to be in the United States, and seven sales...
Pay [Back] Day: Commissioner Suspends San Antonio Investment Adviser for Unregistered & Unsuitable Sales & Orders $2.75 Million Back to Texas Investors
Brooklynn Chandler Willy of San Antonio, Texas, agreed to a one-year suspension of her license as an investment adviser representative with the Securities Commissioner and to pay back $2.75 million of commissions she received for the sale of alternative investments. The suspension and return of...
On September 25, 2020, Kenzley Ramos, from Lawrenceville, Georgia, was arrested and indicted for an investment scheme tied to COVID-19 .
Earlier this year, the Texas Securities Commissioner brought an action against Ramos, entering an Emergency Cease and Desist Order to protect Texans...
Don’t Mess with Texas, She Has A Lot of Friends – The CFTC, Texas, and 29 Other States Join Forces to Stop $185 Million Precious Metals IRA and Bullion Coin Scheme Targeting Seniors
Texas Attorney General Ken Paxton and the Texas State Securities Board joined the Commodity Futures Trading Commission (CFTC) and 29 other states in a complaint , filed in the Northern District of Texas, against TMTE Inc. aka Metals.com, Chase Metals Inc., Chase Metals LLC, Barrick Capital Inc...
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.