Jun 29
2021

Order No. REG21-CAF-04

In the Matter of Investment Adviser Registration of Paul Winkler, Inc.: Reprimanded, Fine, and Registration Granted

Jun 29
2021

Order No. REG21-CAF-03

In the Matter of the Agent and the Investment Adviser Representative Registration of Michael Witt: Suspended, Probation, Undertaking, and Registration Granted

Jun 17
2021

Securities Commissioner Stops Fraudster from Impersonating ARK Invest and an ETF Managed by Cathie Wood

ARK Invest and its founder and CEO, Cathie Wood, have been generating considerable attention with their bets on innovative, disruptive technologies. The company is an investment adviser for certain exchange traded funds and registered with the Securities & Exchange Commission. The ARK Innovation ETF...
Jun 17
2021

Order No. ENF-21-CDO-1842

In the Matter of Keye Midas Wealth Management Worldwide AKA Keye Midas Wealth Management Services AKA Keye Midas Private Wealth Management Services AKA KMWM; Robert Joseph Raimondo; Lilian Swift; Christie Raimondo Gabbiadini AKA Christie Raimondo; Nicolas E. Biangel; Nick Cuban; Alan Rozich and Anna Lefcovitch: Emergency Cease and Desist Order

Jun 16
2021

Securities Commissioner Stops Illegal Forex Trader Operating in Frisco, Texas

Securities Commissioner Travis J. Iles entered an emergency cease and desist order against David A. Grissom and Premier Concepts, accusing them of illegally operating an unregistered forex investment scheme from Frisco, Texas. According to the order, Grissom and Premier Concepts advertised the...
Jun 16
2021

Order No. ENF-21-CDO-1841

In the Matter of Premier Concepts and David A Grissom: Emergency Cease and Desist Order

Jun 15
2021

Securities Commissioner Stops Fraudulent Offering Tied to Downtown Austin Venue Bull & Bowl

Securities Commissioner Travis J. Iles entered an Emergency Cease and Desist Order to stop a fraudulent securities offering tied to Bull & Bowl, a nightclub located in downtown Austin, Texas. The action names Austin resident David Wesley Goodnight and his businesses, Valiant Holdings, LLC, and...
Jun 15
2021

Order No. ENF-21-CDO-1840

In the Matter of Valiant Holdings, LLC, The Goodnight Group, and David Wesley Goodnight: Emergency Cease and Desist Order

Jun 8
2021

Richard Gregory Tilford: Convicted

On June 8, 2021, Richard Gregory Tilford, from Arlington, was sentenced to serve 40 years in state prison for engaging in a fraudulent digital marketing investment scheme. He was also sentenced to serve 10 years in prison for each of six counts of selling unregistered securities and 10 years in...
Jun 3
2021

Swindler Sentenced to Federal Prison for $6.8M Securities Fraud Scheme

A federal judge sentenced 45-year-old Christopher Matthew Meredith of Shawnee, Kansas to 14 years in federal prison today for his scheme to defraud investors of more than $6.8 million. Department of Justice Press Release
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