Enforcement Actions Administrative

Apr 4
2025

Notice of Hearing: Apertum Foundation and Josip Heit

Notice of Hearing filed in SOAH Docket No. 312-25-16274, Texas State Securities Board v. The Apertum Foundation and Josip Heit.
Mar 27
2025

Order No. REG-25-CAF-02

In the Matter of the Agent and Investment Adviser Representative Registrations of William Lovelady: Reprimanded & Fined

Mar 20
2025

Order No. ENF-25-CDO-1889

In The Matter of The Apertum Foundation, Josip Heit, Dirc Zahlmann, Bruce Innes Wylde Hughes and Dennis Christopher Loos: Emergency Cease and Desist Order

Mar 17
2025

Order No. REG-25-CAF-01

In the Matter of the Investment Adviser Registration of Waits Investments, LLC: Reprimanded & Fined

Mar 12
2025

Notice of Hearing filed against GSB Gold Standard Bank LTD et al.

The Notice of Hearing was filed at the State Office of Administrative Hearings in SOAH Docket No. 312-25-13515, Texas State Securities Board v GSB Gold Standard Bank LTD DBA GS Smart Finance, Gold Standard Partners, GS Partners and GSP, GSB Gold Standard Banking Corporation PLC, GSB Gold Standard...
Mar 12
2025

Order No. IC-25-CAF-02

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

Feb 12
2025

Notice of Hearing filed against Smith Wealth Advisors, LLC, and Ronald Dewayne Smith, Jr.

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. 

Jan 17
2025

Order No. IC-25-CAF-01

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

Dec 19
2024

Order No. REG-24-CAF-09

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

Dec 2
2024

Order No. ENF-24-CDO-1888

In the Matter of Anthony Martinez: Agreed Order