May 19
2021

Out of Options: Commissioner Revokes Adviser’s Registration for Breach of Fiduciary Duties tied to Aggressive Options Trading

Randall Fields of San Antonio, Texas consented to the revocation of his registration as an investment adviser representative of his own state-registered investment advisory firm with the Securities Commissioner. The revocation is part of a consent order that Texas Securities Commissioner, Travis J...
May 19
2021

Order No. IC21-REV-02

In the Matter of the Investment Adviser Representative Registration of Randall Fields: Registration Revoked

May 19
2021

Carl William Pollock - Indicted

Carl William Pollock was indicted by a Travis County Grand Jury and charged with securities fraud, theft and money laundering in connection with a scheme to raise capital for Austin-based healthcare companies. The charges are first degree felony offenses, meaning Pollock faces up to 99 years or life...
Apr 30
2021

Always Look Before You Leap: Securities Commissioner Warns Investors About Deceptive Firm Names

Securities Commissioner Travis J. Iles is warning the public about sham investment firms using deceptive and misleading names to recruit new victims. Their names may be the same as or similar to the names of well-known, licensed or established firms. They adopt these names to confuse investors –...
Apr 30
2021

Securities Commissioner Accuses Crypto Investment Platform of Covid-19 Securities Fraud

Securities Commissioner Travis J. Iles announces the entry of an emergency cease and desist order against EscoCapital, an online cryptocurrency investment firm accused of illegally targeting persons adversely impacted by COVID-19. According to the order, EscoCapital and Anthony Jerome aka Anthony...
Apr 30
2021

Order No. ENF-21-CDO-1839

In the Matter of EscoCapital aka Esco Capital and Anthony Jerome aka Anthony Vitale: Emergency Cease and Desist Order

Apr 29
2021

Order No. ENF-21-CDO-1838

In the Matter of Hyperion Trust LLC aka HyperionTrust aka Hyperion Mutual Trust aka Hyperion Assets Limited aka Hyperion Assets Management Limited; Roberto Atrizio; Alisia Briston; Thomas Mcclelland; and Robert Greene: Emergency Cease and Desist Order

Apr 28
2021

Avoid These “Investment Plans” When Planning Your Investments

The Texas State Securities Board is warning investors about unregistered online platforms defrauding the public through the sale of so-called “investment plans.” These investment plans often sound appealing – they tend to be tied to blockchain technology, artificial intelligence or foreign currency...
Apr 27
2021

Order No. ENF-21-CDO-1837

In the Matter of Affort Projects S.A.; AlgorAndTrade24; AuxiliaryFX LTD aka AuxiliaryFX aka Auxiliary FX; CryptoDail yTradePlus; CryptoStreamTrade aka CryptoStream aka Crypto$tream; Exerlo; FXtradeplus24; FXVirwoxFair; Nexetral; Prime Coin Option aka PrimeCoinOption; SplitFXTrade aka OandaForexTrade; TradeFlow 24 aka TradeFlow24; TradeOptionMarket aka Trade Option Market; ViaForexTrade; XpressTrade24; and XpressTrade247: Emergency Cease and Desist Order

Apr 16
2021

Order No. ENF-21-CDO-1836

In the Matter of Bitles Limited aka "Bitle$"; Janis Lacis; C3 Data Services; and Edward Carter: Emergency Cease and Desist Order

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