Texas State Securities Board Archives

Rex Securities Law
April 4, 2023
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Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX

Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 4, 2023 April 4, 2023

Fraudulent Artificial Intelligence Investment Scheme Target of Texas Securities Regulator Austin, TX-April 2023 The Texas State Securities Board (TSSB) issued an emergency Cease and Desist Order against Bucharest, Romania based…

Rex Securities Law
March 13, 2023
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Penrod Financial Group Sanctioned by Texas Securities Regulator-Austin, TX

Penrod Financial Group Sanctioned by Texas Securities Regulator-Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 13, 2023 March 13, 2023

Penrod Financial Group Sanctioned by Texas Securities Regulator March 2023- Austin, TX On February 16, 2023, the Texas State Securities Board (TSSB) entered an order sanctioning Penrod Financial Group, a FINRA registered broker…

Rex Securities Law
July 13, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 13, 2022 July 13, 2022

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…

Rex Securities Law
July 13, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 13, 2022 July 13, 2022

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…

Rex Securities Law
July 13, 2022
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Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX

Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 13, 2022 July 13, 2022

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…

Rex Securities Law
July 13, 2022
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StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX

StartEngine Crowdfunding Inc. Sanctioned by Texas Securities Regulator-Austin, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 13, 2022 July 13, 2022

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…

ER
July 5, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 5, 2022 July 5, 2022

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 ,…

Rex Securities Law
June 9, 2022
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 9, 2022 June 9, 2022

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…

Rex Securities Law
November 17, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 17, 2021 November 17, 2021

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…