Skip to main content
  • Contact Us
  • Sign Up for News & Updates
Texas State Securities Board Home
Texas State Securities Board

  • Menu
  • For Investors
    • General Investing
      • Registration Checks
      • FAQs
      • Glossary
      • Finding a Financial Pro You Can Trust
      • Video & Audio
      • Investor Checklist
      • Publications and Helpful Links
      • Top 10 Investor Threats
    • For Seniors
      • Senior Self Defense
      • Life Settlement Contracts
      • Publications
      • Scams & Unsuitable Investments
    • For Military
      • Emergency Relief Funds
      • Military Resources
      • Thrift Savings Plan
      • Thrift Savings Plan
    • For Teachers
      • Save through a 403(b), a Roth, or Both?
      • Publications and Resources
      • Teacher Retirement Savings FAQ
      • Value of Investing for Teachers
    • Español
      • General
      • Docentes
      • Militares
      • Jubilados
      • Recursos
      • Video & Audio
  • Texas Securities Act and Board Rules
    • Texas Intrastate Crowdfunding
      • Crowdfunding FAQs
      • Information for Investors
      • Information for Issuers Using Crowdfunding
      • Registered Crowdfunding Portals
      • Useful Links
      • Information for Issuers Using Rule 139.26 and SEC Rule 147A for Intrastate Crowdfunding
      • Information for Section 44 Texas Crowdfunding Portals
      • Information for Texas Crowdfunding Portals
      • Texas Small Business Offering Guide to Disclosure
      • Use of a Segretated Account
    • Texas Securities Act
      • 2019 Changes to the Act
      • Texas Securities Act (2019)
    • Board Rules
      • June 12, 2018
      • June 8, 2018
      • Rule Review
        • Completed Rule Review - December 2018
          • Completed Rule Review - August 2019
        • Intended Rule Review - December 2018
        • Intended Rule Review - June 2019
        • Intended Rule Review - March 2019
        • Intended Rule Review - September 2018
        • Intended Rule Review - September 2019
    • Forms and Fees
      • Fee Schedule - July 1, 2018
    • Legal Rate of Interest
    • 2019 Annual Registration Renewal
    • Codification (2022)
    • NASAA Statements of Policy
  • For Securities Professionals
    • Dealer & Adviser Registration
      • Getting Started as a Registered Investment Adviser
        • Avoiding Common Deficiencies
        • Check Sheet for Investment Adviser Registration
        • Registration FAQ
        • Private Fund Adviser FAQ
        • IAPD System
      • Getting Started as a Dealer
        • Dealer Checksheets for Registration
        • Registration of Dealers
        • Uniform Dealer Forms
      • Certificates of Registration
      • FINRA BrokerCheck
    • Enforcement
      • Enforcement Actions: Administrative
      • Enforcement Actions: Criminal & Civil
      • To Report a Suspected Violation
      • Instructions for Filing a Complaint
    • Inspections & Compliance
      • Investors FAQ
      • Arbitration
      • Filing a Complaint
        • File a Complaint
    • Regulation of Securities
      • Business Management and Ownership
      • Exemptions from Registration
      • Federal Covered Securities
      • Filing Requirements for Regulation D Offerings in Texas
      • Forms and Fees
      • Registration Process
      • Securities Offerings
      • Small Business Information
      • What is a Security?
    • Securities Search
    • Certificate Search
  • News & Publications
    • News Releases
    • Enforcement Actions: Administrative
    • Enforcement Actions: Criminal & Civil
    • Publications
  • About Us
    • Agency Overview
    • Offices
    • Board Member Information
    • Employment Opportunities
      • Job Posting 1-20
      • Job Posting 15-19
      • Job Posting 16-19
      • Job Posting 18-19
      • Job Posting 19-19
      • Job Posting 20-19
    • Open Records
    • Agency Reports
      • Board meetings
        • Minutes - August 1, 2017
        • Minutes - August 1, 2019
        • Minutes - August 25, 2015
        • Minutes - January 24, 2017
        • Minutes - January 27, 2016
        • Minutes - May 16, 2018
        • Minutes - May 24, 2016
        • Minutes - November 13, 2018
        • Minutes - November 14, 2017
        • Minutes - September 19, 2016
    • Contact Us

You are here

  • Home
  • Enforcement Actions Administrative
  • Order No. IC12-CAF-15
Share Share This

Order No. IC12-CAF-15

Sep 5
2012
PDF icon View IC12CAF15.pdf (654.3 KB)

News & Publications

  • News Releases
  • Enforcement Actions: Administrative
  • Enforcement Actions: Criminal & Civil
  • Publications
  • For Investors
  • Texas Securities Act and Board Rules
  • For Securities Professionals
  • News & Publications
  • About Us
Texas State Securities Board Home
Texas State Securities Board
  • Contact Us
  • Sign Up for News & Updates
  • Twitter
  • Facebook
  • LinkedIn

Texas State Securities Board

  • Compact with Texans
  • Public Information Requests
  • HB 12 Information
  • Customer Service Report
  • Registration Provisions for Military
  • Texas Energy Conservation Plan

Website Resources

  • Accessibility & Site Policies
  • Disclaimer
  • Report A Website Problem
  • Download Adobe Acrobat Reader (for PDFs)
  • Site Map

Texas Links

  • Texas.gov
  • Texas Veterans Portal
  • Texas Homeland Security
  • Where the Money Goes
  • Trail Search

Report fraud, waste, or abuse of state resources to the State Auditor's Office or call (800) 892-8348.