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The Latest News & Publications
The Texas State Securities Board’s new website is designed to provide the investing public and industry professionals more efficient ways to access the most relevant content.
The site offers new ways to stay connected to the State Securities Board, including Twitter ( @TxSSB ), and...
The North American Securities Administrators Association (NASAA) reported that senior investors continue to be a primary target for fraudulent investment pitches. In its 2015 Enforcement Report on 2014 Data , released Sept. 22, NASAA, based in Washington, D.C., reported that affinity fraud and...
WFG Investments Inc. of Dallas was reprimanded and fined $175,000 for failing to determine whether the sales of alternative investments exposed clients to excessive risk.
The Disciplinary Order , entered Sept. 3 by Securities Commissioner John Morgan, found that WFG violated the...
Kenneth Wayne Graves , a former investment adviser in Corpus Christi whose registration had been revoked by the Securities Commissioner, was sentenced to concurrent seven-year state prison terms Sept. 3 and ordered to pay $517,158 in restitution.
Graves entered his pleas in Corpus...
About the Texas Securities Board
The State Securities Board is responsible for administering and enforcing the Texas Securities Act. The mission of the State Securities Board is to protect Texas investors. Consistent with that purpose, the Agency seeks to ensure a free and competitive securities market for Texas, increase investor confidence, and thereby encourage the formation of capital and the creation of new jobs in Texas.