July 2019-Austin, Texas The Texas State Securities Board (TSSB) issued a news release announcing that Metals.Com, has agreed to offer a full refund to some 84 Texas investors. According to…
read moreJanuary 2019 – Austin, TX According to publicly available records Trevor Martin Carney (CRD#5657735) , a stockbroker who is currently registered with Ascendant Alternative Strategies , disclose a Regulatory Event and two currently outstanding judgment/liens.…
read moreMay 2018-Austin, TX The Texas State Securities Board (TSSB) entered emergency orders against the following unregistered promoters who are fraudulently offering high-return investments in cryptocurrencies: Bitcoin Trading & Cloud Mining,…
read moreFebruary 2018-Dallas, Texas The Texas State Securities Board (TSSB) entered an Emergency Cease and Desist Order against Jason A. Gilbert and Parker R. Hallam who are doing business through SourceRock…
read moreNovember 2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…
read moreAugust 2017-Austin, Texas Travis J. Lies was appointed Securities Commissioner of the Texas State Securities Board (TSSB) effective September 1, 2017. Lies has worked for the TSSB for 16 years and…
read moreJuly 2017 -San Antonio, TX The Texas State Securities Board (TSSB)entered a disciplinary order against San Antonio investment adviser Michael Keith Parish for violations of Board Rule 116.17, known as the “custody…
read moreUpdated January 2019-Chicago According to publicly available records Daniel John Haugh (CRD#2162854) , a stockbroker who currently is the chief compliance officer of PTI Securities & Futures , disclose a recent regulatory event…
read moreJune 2017 -Austin, TX The Texas State Securities Board entered a disciplinary order against Chicago-based PTI Securities & Futures for transferring nearly $100,000 from a 75 year old Texan’s IRA…
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