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Texas State Securities Board

Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX

Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX 150 150 Rex Securities Law

Bob Flournoy/Energy Investment Partners Sanctioned for Maple Grove 2 Prospect Sales July 2022- Dallas, TX  On January 31, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Energy Investment Partners…

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Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX

Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX 150 150 Rex Securities Law

Todd Prince Sanctioned for Sales of Beeler 2H Joint Venture Sales July 2022- Austin, TX  On April 21, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Todd Prince. According…

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Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX

Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX 150 150 Rex Securities Law

Perry Abbonizio Sanctioned by Texas Securities Regulator July 2022- Austin, TX  On June 23, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Perry Abbonizio. In February, 2020, the Texas…

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StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX 150 150 Rex Securities Law

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator July 2022- Austin, TX  On June 12, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning StartEngine Crowdfunding, Inc., an equity…

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Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX

Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX 150 150 ER

Lyle Boudreaux Investigation July, 2022 – Houston, TX The FINRA records of Lyle J. Boudreaux a former broker who was previously employed by Independent Financial Group, discloses a regulatory event ,…

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Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX

Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX 150 150 Rex Securities Law

Swiftarc Capital & Siddharth Jawahar  Accused of Fraud June 2022- Austin, TX  On June 7, 2022, the Texas State Securities Board (TSSB) entered an order revoking the registration of Swiftarc…

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Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest

Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest 150 150 Rex Securities Law

Hancock Whitney Investment Services Investigation November 2021 Hancock Whitney Investment Services was fined and ordered to pay disgorgement and restitution over $2.4 million dollars by regulators for conflicts of interest related…

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Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers

Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers 150 150 Rex Securities Law

Aegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…

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