News Releases

Aug 1
2017

Travis Iles Appointed Texas Securities Commissioner

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...

Jul 20
2017

San Antonio Investment Adviser Suspended, Fined

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.

...

Jun 30
2017

Administrative Action Report April-June 2017

The following are summaries of administrative actions and orders taken from April 1 through June 30, 2017.

Trevor M. Carney: Fined, Reprimanded

Securities Commissioner John Morgan entered a Disciplinary Order on June 21 that fined and reprimanded Trevor M. Carney , a securities agent in...

Enforcement Actions: Administrative

Jul 18
2017

Order No. IC17-CAF-03

In the Matter of the Investment Adviser Registration of Michael Keith Parish: Suspension, Fine

Jun 21
2017

Order No. REG17-CAF-05

In the Matter of the Agent Registration of Trevor M. Carney: Fine, Reprimand

Jun 19
2017

Order No. IC17-CAF-02

In the Matter of the Investment Adviser Registration of Provident Capital Management Inc.: Suspension, Fine

Enforcement Actions: Criminal & Civil

Jul 6
2017

Jeffrey Ray Filla: 10 Years Probation

Jeffrey Ray Filla of Richmond on July 6 was sentenced to 10 years deferred adjudication and ordered to pay $807,054 in restitution to investors in his commodities trading program.

Filla pleaded guilty to misapplication of fiduciary property in Fort Bend County District Court. He was...

Jun 29
2017

Arthur P. Wilson: Sentenced, 8 Years

Arthur P. Wilson of Addison, who sold approximately $400,000 in fraudulent investments in non-existent oil and gas drilling projects, pleaded guilty to securities fraud and was sentenced to eight years in state prison on June 29 in Collin County State District Court.

Wilson, the founder...

Jun 29
2017

Timothy Eugene White: Indicted

Timothy Eugene White of San Angelo was charged with seven counts of theft on June 29 in the 340th District Court of Tom Green County for allegedly stealing at least $517,000 through the sale of investment units in a private sports games company.

White was arrested in late July in Tom...

Publications

Salute to Smart Investing cover

A Salute to Smart Investing

To help active military members achieve financial security, Salute covers investment "basic training," retirement planning, avoiding scams – and much more

 

It's Your Financial Life cover

It's Your Financial Life

Young workers of the world, invest! Your Financial Life cuts through the thicket of financial jargon and products as you begin managing your own finances.