Enforcement Actions Administrative

Feb 12
2025

Notice of Hearing filed against Smith Wealth Advisors, LLC, and Ronald Dewayne Smith, Jr.

The Notice of Hearing was filed at the State Office of Administrative Hearings. For inquiries contact Cristi Ochoa, Deputy Commissioner, by email at cochoa@ssb.texas.gov

Jan 17
2025

Order No. IC-25-CAF-01

In the Matter of Dealer Registration of Edward D. Jones & Co, L.P.: Agreed Order

Dec 19
2024

Order No. REG-24-CAF-09

In the Matter of the Investment Adviser Registration of The Pilot's Advisor, LLC: Reprimanded and Fined

Dec 2
2024

Order No. ENF-24-CDO-1888

In the Matter of Anthony Martinez: Agreed Order

Nov 20
2024

Order No. IC-24-CAF-06

In the Matter of the Investment Adviser Representative Registration of David Gunderson: Reprimanded and Fined

Nov 20
2024

Order No. ENF-24-CDO-1887

In the Matter of Jose Eluid Cavazos: Agreed Order

Nov 12
2024

Order No. IC-24-SUS-05

In the Matter of the Investment Adviser Representative Registration of Shaun Hayes: Reprimanded and Undertaking 

Oct 14
2024

Order No. IC-24-CAF-04

In the Matter of the Investment Adviser and Dealer Registration of McNally Financial Services Corporation and the Investment Adviser Representative and Agent Registration of Mark Alan Kemp: Suspended, Reprimanded, and Undertaking

Oct 10
2024

Order No. ENF-24-CDO-1886

In the Matter of Trage Technologies Limited, Graeme Gary Hearn, Michael “Mike” Holloway, Kingdom Wealth Group LLC aka Kingdom Wealth Creators LLC, Darrell Porter, and Eric Ture Muhammad aka Brother Eric Muhammad: Emergency Cease and Desist 

Sep 19
2024

Order No. IC-24-CAF-03

In the Matter of the Investment Adviser Registration of FQI Capital Management, LLC: Undertaking and Fined