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Texas State Securities Board

Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators
Michael Delao-Former Century Securities Broker-Sanctioned by Texas Securities Regulators 150 150 Rex Securities Law

December 2016-Georgetown, Texas The FINRA records of  Michael Ramon Delao,  a  stockbroker with St. Bernard Financial Services , disclose a recently regulatory event , a prior customer dispute and 2 terminations. The Financial Industry Regulatory…

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Jesse Shelmire-Stonegate Capital Markets Broker-Sanctioned by Regulators Over IRS Liens
Jesse Shelmire-Stonegate Capital Markets Broker-Sanctioned by Regulators Over IRS Liens 150 150 Rex Securities Law

November 2016- Dallas, Texas The FINRA records of  Jesse B. Shelmire, IV,  a  stockbroker who is currently  employed by  Stonegate Capital Markets, Inc.  disclose 2 prior regulatory events that are final, a pending investigation and…

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Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators
Old Security Financial Group of Spring, Texas, Fined $100,000 by Securities Regulators 150 150 Rex Securities Law

October 2016- Spring, Texas The Texas State Securities Board (TSSB) sanctioned  Old Security Financial Group, Inc. of Spring, Texas,  fining the company $100,000 for selling unregistered investments in a mortgage note…

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San Antonio Based Investment Adviser Sanctioned by Texas Regulators
San Antonio Based Investment Adviser Sanctioned by Texas Regulators 150 150 Rex Securities Law

September 2016- San Antonio, Texas The Texas State Securities Board (TSSB) sanctioned San Antonio investment adviser firm Rubicon Investment Management & Analytics and barred its president Michael Yves Heridia from…

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Jens Pinkernell Suspended by Texas Securities Regulators-Gunter, TX
Jens Pinkernell Suspended by Texas Securities Regulators-Gunter, TX 150 150 Rex Securities Law

October 2016-Gunter, Texas The Texas State Securities Board (TSSB)  entered an order suspending the investment adviser registration of Jens Pinkernell and his company J. Pinkernell Global Wealth, LLC for five years.…

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Texas State Securities Board Fines Stephen Scheurer-Bee Cave, TX
Texas State Securities Board Fines Stephen Scheurer-Bee Cave, TX 150 150 Rex Securities Law

September 2016-Bee Cave, Texas The FINRA records of  Stephen M. Scheurer,  a  stockbroker who was formerly employed by  Century Securities Associates  disclose a recent regulatory event with the Texas State Securities Board,  2 prior finalized customer…

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Texas State Securities Board Fines Charles Schwab & Co. $95,000
Texas State Securities Board Fines Charles Schwab & Co. $95,000 150 150 Rex Securities Law

  September 2016- Austin, Texas Charles Schwab & Co. entered into a Consent Order with the Texas State Securities Board (TSSB) and agreed to pay an administrative fine of $95,000 as…

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Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX
Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX 150 150 Rex Securities Law

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

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Michael Anthony Collins Sentenced to 15 Years for Securities Fraud-Alice, TX
Michael Anthony Collins Sentenced to 15 Years for Securities Fraud-Alice, TX 150 150 Rex Securities Law

August 2016- Alice, Texas   Michael Anthony Collins pleaded guilty to stock fraud, theft and money laundering and was sentenced to 15 years on each count in Jim Wells County…

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