Enforcement Actions Administrative

The Notice of Hearing was filed at the State Office of Administrative Hearings. For inquiries contact Joe Rotunda, Director of Enforcement, by email at jrotunda@ssb.texas.gov or by telephone at 512-305-8392.

In the Matter of Graco Commercial Capital, LLC and Raymond V. Grant: Emergency Cease and Desist Order

In the Matter of Riek Capital aka Riek Capital Investment aka Riek Capital Distributors, LLC; Joshua Oj Robertson; Nicolai A. Andresen; Robert Costomoris; Katherine C.B. Cullum; Steve Welch; Jeffery T. Winter; Marcos D. Leon; John M. Willock; and Gareth M. Cope: Emergency Cease and Desist Order

In the Matter of Michael Wichkoski and Immortal Assets: Emergency Cease and Desist order

In The Matter of PB & Associates, LLC, Barbara Lanesa George aka Barbara Troutman, and Patricia Coleman: Emergency Cease and Desist Order

In the Matter of Prestige Assets MGNT, LLC and Oscar Hill: Emergency Cease and Desist Order

In the Matter of First Class Wealth Preservation LLC aka First Class Metals, Mitchel Kane Malizio aka Mitch Kane and Jason Shaw: Emergency Cease and Desist Order

In the Matter of Investment Adviser Registration of Legacy Wealth Advisors, inc.: Reprimanded; Fined; and Undertaking

The Notice of Hearing was filed at the State Office of Administrative Hearings. For inquiries contact Joe Rotunda, Director of Enforcement, by email at jrotunda@ssb.texas.gov or by telephone at 512-305-8392.

The Notice of Hearing was filed at the State Office of Administrative Hearings. For inquiries contact Joe Rotunda, Director of Enforcement, by email at jrotunda@ssb.texas.gov or by telephone at 512-305-8392.