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TSSB

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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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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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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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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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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Marie P. Goforth-Former LPL Financial Broker-Discloses Sanction by Texas Regulator-San Antonio, TX

Marie P. Goforth-Former LPL Financial Broker-Discloses Sanction by Texas Regulator-San Antonio, TX 150 150 Rex Securities Law

May 2017-San Antonio, TX The FINRA records of  Marie P. Goforth  ,  a  stockbroker who is currently  employed  by Capital Financial Service   disclose  2 prior customer disputes and a termination from employment. The…

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