Enforcement Actions Administrative

Jan 20
2023

Order No. IC23-SUS-01

In the Matter of the Investment Adviser Representative Registration of Clifton Wayne Myers: Suspension

Nov 29
2022

Notice of Hearing filed against Sam Bankman-Fried

The Notice of Hearing was filed at the State Office of Administrative Hearings. For inquiries contact Joe Rotunda, Director of Enforcement, by email at jrotunda@ssb.texas.gov or by telephone at 512-305-8392.

Nov 8
2022

Order No. ENF-22-CDO-1868

In the Matter of Whiskey Sky, LLC and Adrian Lamont Gunn: Emergency Cease and Desist Order

Nov 2
2022

Order No. REG-22-SUS-03

In the Matter of the Investment Adviser Representative Registration of Stephen Kwan: Suspension

Oct 27
2022

Order No. ENF-22-CDO-1867 / SOAH Docket 312-21-1666

In the Matter of KP Financial, LLC; Kevin Vu Pham; Daniel Ajwani; and Gerald Johnson: Order Affirming and Modifying Emergency Cease and Desist Order

Oct 26
2022

Order No. REG_22-DEN-02

In the Matter of the Investment Adviser Registration of Elysien Private Wealth and the Investment Adviser Representative Registration of Anthony Depasquale: Registration Denied and Undertaking

Oct 26
2022

Order No. ENF-22-CDO-1866

In the Matter of U.S. Energy Assets, LLC; Texas Victory Joint Venture: and Raymond Leslie Boykin aka Robert Leslie Boykin: Agreed Cease and Desist Order

Oct 20
2022

Order No. ENF-22-CDO-1865

In the Matter of Slotie NFT: Emergency Cease and Desist Order

Sep 28
2022

Order No. IC22-CAF-02

In the Matter of the Dealer Registration of LPL Financial LLC: Fine and Undertaking

Aug 11
2022

Notice of Hearing filed against Alexander Mashinsky

The Notice of Hearing was filed at the State Office of Administrative Hearings. For inquiries contact Joe Rotunda, Director of Enforcement, by email at jrotunda@ssb.texas.gov or by telephone at 512-305-8392.