Apr 18
2024

Order No. REG-24-DEN-02

In the Matter of the Agent and Investment Adviser Representative Registration of George Cairnes: Registration Denied and Undertaking

Apr 18
2024

Order No. IC-24-CAF-01

In the Matter of the Dealer Registration of D.H. Hill Securities, LLLP: Reprimanded and Fined

Apr 16
2024

Order No. ENF-24-CDO-1881

In the Matter of Plutus Financial Holdings Inc., Plutus Financial Inc., Plutus Lending LLC, Abra Boost LLC, and William "Bill" Barhydt: Consent Order 

Feb 29
2024

Securities Commissioner Warns Retail Investors About Spoofing Investment Schemes

Securities Commissioner Travis J. Iles entered an Emergency Cease and Desist Order to stop a fraudulent securities scheme that allegedly spoofs an unrelated third party.

Feb 29
2024

Order No. ENF-24-CDO-1880

in Matter of GSBGlobal.co, Carson Williams, Sheila Thompson, Patrick Snider, and Keneth Henderson: Emergency Cease and Desist Order 

Feb 2
2024

Order No. REG-24-CAF-1

In the Matter of Blue Owl Technology Income Corp.: Fine and Undertaking 

Jan 22
2024

Texas Securities Board Settles with Abra Over National Sales of Interest-Bearing Accounts

Securities Commissioner Travis J. Iles entered a settlement in principle with a group of affiliated companies commonly known as Abra.  

Dec 28
2023

Order No. REG-23-CAF-02

In the Matter of the Dealer Registration of Brady Keith Collier: Reprimanded and Fined

Dec 21
2023

Texas Investors to Receive $625,000 Refund of Unreasonable Commission Charges

The Texas State Securities Board is pleased to announce it has joined a multi-state settlement with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively, “Raymond James”). The settlement comes as the result of an investigation into the company’s practices of...
Dec 21
2023

South Texas Agent Fined for Selling Away

Today, the Securities Commissioner entered an order fining a Corpus Christi-based agent $25,000 for selling an unapproved cryptocurrency to his brokerage clients. From in or about July 2017 through 2022, Jaime Rios, a registered agent of Money Concepts Capital Corp., engaged in outside business...
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