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...
Dec 21
2023

Order No. IC23-CAF-08

In the Matter of the Dealer Registration of Raymond James & Associates, Inc. and Raymond James Financial Services Inc.: Reprimanded, Ordered to Pay Restitution, and Fined

Dec 21
2023

Order No. IC23-CAF-07

In the Matter of the Agent Registration of Jaime Rios: Reprimanded and Fined

Nov 16
2023

GS Partners And Josip Heit’s Fraud Exposed by U.S. and Canadian Regulators

Securities Commissioner Travis J. Iles filed an emergency enforcement action to stop an ongoing international investment scheme threatening immediate and irreparable public harm.

Nov 16
2023

Order No. ENF-23-CDO-1879

In the Matter of GSB Gold Standard Bank Ltd dba GS Smart Finance, Gold Standard Partners, GSPartners, GS Partners and GSP; GSB Gold Standard Banking Corporation PLC; GSB Gold Standard Corporation AG; GSB Gold Standard Pay Kommanditbolag aka GSB Gold Standard Pay; GSB Gold Standard Pay Ltd acting under the brand name GSDEFI; GSB Gold Standard Trade; Swiss Valorem Bank Ltd; Josip Dortmund Heit; Bruce Innes Wylde Hughes; Aline Lima and Dirc Zahlmann: Emergency Cease and Desist Order

Nov 15
2023

Securities Board Continues Protecting Texans from A.I. Fraud

Commissioner Travis J. Iles Announces Actions to Stop Two Artificial Intelligence Schemes An action was filed against 9xProfits Limited, Lucas Morris and others that allegedly offered investments that purportedly paid fixed, lucrative returns – in some cases, as high as 1.5% per day. According to...
Nov 14
2023

Order No. ENF-23-CDO-1878

In the Matter of 9XProfits Ltd; Alastair Prescott; Esme Ravenscroft; Hamza Karim; Joshua Gleeson; Shirley Atwood; and Lucas Morris: Emergency Cease and Desist Order

Nov 9
2023

Order No. ENF-23-CDO-1877

In the Matter of BitSports.ai, Berman Investment Group dba B.I.G., Hugo Rodriguez Salgado aka Hugo Rodriguez, Carlos Sarmiento, Denisse Salas, Josh Berman & Sean Kelly : Emergency Cease and Desist Order

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