Oct 22
2020

Order No. ENF-20-CDO-1822

In the Matter of Charles Winn, LLC; Charlie Jake Smith; Oscar Valentine; Christian Fonte AKA Chris Font, Casey Farrell, Joe Adams, Helen Stanley and Michael Jones: Emergency Cease and Desist Order
Oct 16
2020

Pay [Back] Day: Commissioner Suspends San Antonio Investment Adviser for Unregistered & Unsuitable Sales & Orders $2.75 Million Back to Texas Investors

Brooklynn Chandler Willy of San Antonio, Texas, agreed to a one-year suspension of her license as an investment adviser representative with the Securities Commissioner and to pay back $2.75 million of commissions she received for the sale of alternative investments. The suspension and return of...
Oct 16
2020

Order No. REG20-SUS-04

In the Matter of the Investment Adviser Registration of Queen B Advisors, LLC and the Investment Advisor Representative Registration of Brooklyn Chander Willy: Suspension, Undertaking, Registration Granted
Oct 12
2020

Criminal and Civil Charges Filed Against Sham Traders for COVID-19 Investment Schemes

On September 25, 2020, Kenzley Ramos, from Lawrenceville, Georgia, was arrested and indicted for an investment scheme tied to COVID-19. Earlier this year, the Texas Securities Commissioner brought an action against Ramos, entering an Emergency Cease and Desist Order to protect Texans and stop the...
Oct 1
2020

No Procedures, No Trading: Commissioner Suspends Investment Adviser & Its Representative for not having Procedures to Prevent Trading Inequities

John Stuart, the sole owner and investment adviser representative of Ironwood Wealth Management, LLC agreed to a three-month suspension of his and his firm’s license with the Securities Commissioner. The suspension is part of a disciplinary order that Texas Securities Commissioner, Travis J. Iles...
Oct 1
2020

Order No. IC20-SUS-06

In the Matter of the Investment Adviser Registration of Ironwood Wealth Management and the Investment Advisor Representative Registration of John Stuart: Suspension, Undertaking, and Refund to Investors

Sep 30
2020

Convicted Burglar Exposed – Texas and Washington Stop Criminal Promoting Fraudulent Cryptocurrency Software Scam

Texas Securities Commissioner Travis J. Iles entered an Emergency Cease and Desist Order against Devon Tyler Shigaki, a resident of the State of Washington. Shigaki controls TradeMining, Inc., and they are accused of illegally soliciting Texas residents to purchase a fraudulent investment tied to...
Sep 30
2020

Order No. ENF-20-CDO-1821

In the Matter of Trademining Inc. aka Trademining.IO and Devon Tyler Shigaki: Emergency Cease and Desist Order 

Sep 22
2020

Don’t Mess with Texas, She Has A Lot of Friends – The CFTC, Texas, and 29 Other States Join Forces to Stop $185 Million Precious Metals IRA and Bullion Coin Scheme Targeting Seniors

Texas Attorney General Ken Paxton and the Texas State Securities Board joined the Commodity Futures Trading Commission (CFTC) and 29 other states in a complaint, filed in the Northern District of Texas, against TMTE Inc. aka Metals.com, Chase Metals Inc., Chase Metals LLC, Barrick Capital Inc...
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