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…
read moreKurt Gunter Investigation November 2021-Bee Cave, Texas Gunter Sanctioned by FINRA According to his FINRA record Kurt Jason Gunter a financial advisor who was last employed as a registered broker…
read moreAegis 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…
read moreSeptember 2021- Austin, TX Texas Securities Commissioner Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…
read moreSeptember 2021- White Settlement, Texas The Texas State Securities Board (TSSB) issued an Emergency Cease and Desist Order against the following Respondents: PB& Associates LLC, a Texas limited liability company…
read moreJuly 2021- Waxahachie, TX According to publicly available records, Legacy Wealth Advisors, a registered investment advisor located in Waxahachie, Texas, was recently reprimanded and fined $15,000 by the Texas State…
read moreDecember 2020-Austin, Texas The Texas State Securities Board (TSSB) announced that they have denied the application for registration of Lyle Boudreaux due to unsuitable trading in Leveraged Exchange Traded Funds…
read moreOctober 2019 – Austin, Texas Texas Securities Commissioner, Travis Iles, revoked the registration of Gus Marwieh for fraud related to the sale of pension investments, according to a news release…
read moreSeptember 2019 -Fort Worth, Texas The Texas State Securities Board (TSSB) announced that unregistered investment promoter Jeremy “JB” Yowell is cooperating with the Enforcement Division of the State Securities Board…
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