Enforcement Actions Administrative

In the Matter of the Investment Adviser Registration of San Antonio Wealth, LLC: Reprimanded, Fined, & Undertaking

The Notice of Hearing was filed at the State Office of Administrative Hearings. For inquiries contact Cristi Ochoa, Deputy Commissioner, by email at cochoa@ssb.texas.gov. 

In the Matter of Dealer Registration of Edward D. Jones & Co, L.P.: Agreed Order

In the Matter of the Investment Adviser Registration of The Pilot's Advisor, LLC: Reprimanded and Fined

In the Matter of Anthony Martinez: Agreed Order

In the Matter of the Investment Adviser Representative Registration of David Gunderson: Reprimanded and Fined

In the Matter of Jose Eluid Cavazos: Agreed Order

In the Matter of the Investment Adviser Representative Registration of Shaun Hayes: Reprimanded and Undertaking 

In the Matter of the Investment Adviser and Dealer Registration of McNally Financial Services Corporation and the Investment Adviser Representative and Agent Registration of Mark Alan Kemp: Suspended, Reprimanded, and Undertaking