Texas
Get the latest news and insights on financial regulations, enforcement actions and litigation in Texas.
10 Worst Financial Advisors in America: 2023
By Dinah Wisenberg BrinWhile most advisors make clients' lives better, others stand accused of financial crimes — and worse.
August 28, 2023
Ex-Broker Appeals Life Sentence for Crimes Tied to Death of ClientThe former broker's attorney filed a notice of appeal tied to the sentence, alleging the Justice Department "overreached."
August 18, 2023
12 States the Young and Wealthy Are Flocking ToBusinesses, governments and advisors in these states are benefiting from the inflow of young, rich professionals.
August 18, 2023
Ex-Broker Gets Life in Prison for Crimes Tied to Death of ClientKeith Todd Ashley was found guilty of fraud and a gun charge; a murder case is pending.
June 08, 2023
Ex-Morgan Stanley Advisor Pleads Guilty to Money LaunderingThe ex-broker took more than $1.5 million from two close relatives who were clients, the prosecutor said.
May 09, 2023
5 Texas Annuity Bills to WatchOne thing lawmakers there are thinking about: Efforts to mix insurance and politics.
April 06, 2023
Debate: Is the ACA Preventive Care Mandate Unconstitutional?Our tax experts discuss a federal judge's ruling on the Affordable Care Act preventive care mandate.
March 28, 2023
SEC Charges Fake Advisor With Scamming $8.4M From InvestorsThe defendant, incarcerated earlier for drug trafficking, allegedly led three schemes targeting at least 28 investors.