Enforcement Actions Administrative

In the Matter of the Investment Adviser Registration of Advue Capital, LLC and the Investment Adviser Representative Registration of Sebastian Agudeloisaza: Suspended, Undertaking, and Cease and Desist Order

In the Matter of the Agent and Investment Adviser Representative Registrations of William Lovelady: Reprimanded & Fined

In The Matter of The Apertum Foundation, Josip Heit, Dirc Zahlmann, Bruce Innes Wylde Hughes and Dennis Christopher Loos: Emergency Cease and Desist Order

In the Matter of the Investment Adviser Registration of Waits Investments, LLC: Reprimanded & Fined

In the Matter of the Investment Adviser Registration of San Antonio Wealth, LLC: Reprimanded, Fined, & Undertaking

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. 

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

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