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Texas State Securities Board

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist 150 150 Rex Securities Law

September 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…

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Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX

Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX 150 150 Rex Securities Law

July 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…

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Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX

Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX 150 150 Rex Securities Law

July 2021- Leander, TX According to publicly available records,  Randall H. Fields, a registered investment  advisor last employed by  Facilitar Capital Group, Sensus Wealth Management Group and Acruence Capital , discloses…

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Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX

Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX 150 150 Rex Securities Law

October 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…

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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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Cryptocurrency Offerings Targeted by Texas Securities Regulators

Cryptocurrency Offerings Targeted by Texas Securities Regulators 150 150 Rex Securities Law

April 2018- Austin, Texas The Texas State Securities Board (TSSB) found widespread fraud in cryptocurrency offerings that were tied to virtual currencies and has issued a 14 page report which…

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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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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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