TSSB Archives

Robert Rex, Esq.
September 16, 2021

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

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 16, 2021 September 16, 2021

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…

Robert Rex, Esq.
July 30, 2021

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

Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 30, 2021 July 30, 2021

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…

Robert Rex, Esq.
October 15, 2019

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

Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 15, 2019 October 15, 2019

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…

Robert Rex, Esq.
May 8, 2018

Cryptocurrency Promoters Shut Down by Texas Regulator-Austin, TX

Cryptocurrency Promoters Shut Down by Texas Regulator-Austin, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 8, 2018 May 8, 2018

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,…

Robert Rex, Esq.
April 17, 2018

Cryptocurrency Offerings Targeted by Texas Securities Regulators

Cryptocurrency Offerings Targeted by Texas Securities Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 17, 2018 April 17, 2018

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…

Robert Rex, Esq.
August 1, 2017

Texas Securities Board Appoints New Commissioner-Austin, TX

Texas Securities Board Appoints New Commissioner-Austin, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 1, 2017 August 1, 2017

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…

Robert Rex, Esq.
July 23, 2017

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

Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 23, 2017 July 23, 2017

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…

Robert Rex, Esq.
June 27, 2017

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 27, 2017 June 27, 2017

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…

Robert Rex, Esq.
May 4, 2017

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 4, 2017 April 11, 2024

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…