For Professionals & the Industry
Registration of Dealers & Investment Advisers
Invest Wisely and Avoid Fraud.
The Texas Investor Guide is fresh, factual, and fully updated for 2019 with information to help investors at all stages of life learn to invest wisely and avoid financial fraud. For free copies, provide a mailing address to email@example.com. The Investor Guide is available in Spanish.
The Latest News & Publications
A Florida investment adviser paid a $5,000 fine for doing work for Texas clients while not registered with the Texas Securities Commissioner.
The fine and a reprimand were part of the Disciplinary Order that Commissioner Travis J. Iles entered on Nov. 5. The commissioner also granted the...
Jason Hyson LeBlanc , an investment adviser representative for Vere Global Wealth Management , has been ordered to repay $366,218 to individuals who bought promissory notes he sold to fund a Fort Bend County coffee shop.
LeBlanc’s wife was a part-owner of the coffee shop, located in...
The Texas State Securities Board this week finished its second regulatory crackdown on cryptocurrency offerings with two emergency actions against businesses claiming they have the expertise and financial strength to deliver high-yielding, no-risk returns.
Securities Commissioner Travis...
Texas Securities Commissioner Travis J. Iles revoked the registration of George A. “Gus” Marwieh , who fraudulently sold more than $5 million in pension-linked investments and real estate development notes to clients without disclosing his excessive commissions, misuse of client funds, and...
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.