Enforcement Actions Administrative

Apr 6
2023

Order No. ENF-23-CDO-1870

In the Matter of Robinhood Financial, LLC: Consent Order

Apr 4
2023

Order No. ENF-23-CDO-1869

In the Matter of YieldTrust.ai and Stefan Ciopraga: Emergency Cease and Desist Order

Feb 16
2023

Order No. REG23-CAF-01

In the Matter of the Dealer Registration of Penrod Financial Services, Inc.: Reprimanded and Fined

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