News Releases

All News Releases

Enforcement Actions: Administrative

Jun 17
2021

Order No. ENF-21-CDO-1842

In the Matter of Keye Midas Wealth Management Worldwide AKA Keye Midas Wealth Management Services AKA Keye Midas Private Wealth Management Services AKA KMWM; Robert Joseph Raimondo; Lilian Swift; Christie Raimondo Gabbiadini AKA Christie Raimondo; Nicolas E. Biangel; Nick Cuban; Alan Rozich and Anna Lefcovitch: Emergency Cease and Desist Order

Jun 16
2021

Order No. ENF-21-CDO-1841

In the Matter of Premier Concepts and David A Grissom: Emergency Cease and Desist Order

Jun 15
2021

Order No. ENF-21-CDO-1840

In the Matter of Valiant Holdings, LLC, The Goodnight Group, and David Wesley Goodnight: Emergency Cease and Desist Order

All administrative actions

Enforcement Actions: Criminal & Civil

Jun 8
2021

Richard Gregory Tilford: Convicted

On June 8, 2021, Richard Gregory Tilford, from Arlington, was sentenced to serve 40 years in state prison for engaging in a fraudulent digital marketing investment scheme. He was also sentenced to serve 10 years in prison for each of six counts of selling unregistered securities and 10 years in...

May 19
2021

Carl William Pollock - Indicted

Carl William Pollock was indicted by a Travis County Grand Jury and charged with securities fraud, theft and money laundering in connection with a scheme to raise capital for Austin-based healthcare companies. The charges are first degree felony offenses, meaning Pollock faces up to 99 years or...

All civil & criminal actions

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.

All publications