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Texas State Securities Board

Texas Securities Regulators Require Metals.Com to Refund $10M

Texas Securities Regulators Require Metals.Com to Refund $10M 150 150 Rex Securities Law

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…

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Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX

Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX 150 150 Rex Securities Law

January 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.…

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Cryptocurrency Promoters Shut Down by Texas Regulator-Austin, TX

Cryptocurrency Promoters Shut Down by Texas Regulator-Austin, TX 150 150 Rex Securities Law

May 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,…

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Dallas Oil & Gas Promoters-SourceRock Companies-Subject of TX State Securities Board Order

Dallas Oil & Gas Promoters-SourceRock Companies-Subject of TX State Securities Board Order 150 150 Rex Securities Law

February 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…

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Mickey Long-Former VSR Financial Broker-DIscloses Numerous Customer Complaints Over Alternative Investments-Plano, TX

Mickey Long-Former VSR Financial Broker-DIscloses Numerous Customer Complaints Over Alternative Investments-Plano, TX 150 150 Rex Securities Law

November  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…

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Texas Securities Board Appoints New Commissioner-Austin, TX

Texas Securities Board Appoints New Commissioner-Austin, TX 150 150 Rex Securities Law

August 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…

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Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator

Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator 150 150 Rex Securities Law

July 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…

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Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL

Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL 150 150 Rex Securities Law

Updated 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…

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PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX

PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX 150 150 Rex Securities Law

June 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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