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

Oct 20
2022

Three State Securities Regulators File Enforcement Actions to Stop Sales of Fraudulent NFT Investments tied to the Metaverse

State securities regulators filed coordinated enforcement actions to stop sales of NFTs by an organization in the country of Georgia. The actions accuse Slotie NFT (“Slotie”) of illegally and fraudulently selling nonfungible tokens, often referred to as NFTs, to raise capital for online and...
Oct 20
2022

Order No. ENF-22-CDO-1865

In the Matter of Slotie NFT: Emergency Cease and Desist Order

Sep 28
2022

Order No. IC22-CAF-02

In the Matter of the Dealer Registration of LPL Financial LLC: Fine and Undertaking

Aug 11
2022

Notice of Hearing filed against Alexander Mashinsky

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.
Jul 12
2022

Order No. REG22-CAF-01

In the Matter of the Dealer Registration of StartEngine Crowdfunding, Inc.:  Reprimanded and Fined

Jul 7
2022

Order No. ENF-22-CDO-1864

In the Matter of Whiskey& Wealth Club Limited aka Whiskey & Wealth Club aka Whisky & Wealth; Scott Sciberras; William Fielding; Alex Mook; Richard Falconer; and Benjamin Dunlop: Agreed Order Setting Aside Emergency Order 

Jun 23
2022

Order No. ENF-22-CDO-1863

In the Matter of Perry Abbonizio: Agreed Cease and Desist Order

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