Texas
Get the latest news and insights on financial regulations, enforcement actions and litigation in Texas.
CFP Board Sanctions Advisor Over Misleading YouTube Video Ad
By Jeff BermanThe planner claimed individuals could be "100% certain" of affording retirement in "just 3-5 years," the board said.
December 13, 2022
NAIC to Spotlight Annuity Sales Standard Update Gray ZonesThe list of states without updates includes Florida and Indiana as well as California and Oregon.
November 29, 2022
BlackRock, UBS Ask to Be Removed From Texas' Energy Boycott ListFirms on the list may struggle to win underwriting work from issuers of municipal debt and to gain access to some retirement systems.
October 07, 2022
Ex-Broker Found Guilty of Fraud Related to Murder of ClientKeith Todd Ashley was charged with murder while under investigation in a suspected fraud scheme.
August 25, 2022
GOP Fury Over ESG Triggers Backlash With U.S. Pensions at RiskThe move by Florida's governor to ban state pension funds from ESG screening endangers some Americans' retirement savings, investment professionals say. .
August 05, 2022
Ex-Rep Booted Over Claims of Racism Sues LPL for $95MThe broker-dealer ended its affiliation with Eileen Cure after claims surfaced online that she had refused to hire Black job-seekers.
May 06, 2022
UBS Must Pay Clients $3.9M Over YES Options StrategyA FINRA arbitration panel ruled against the wirehouse in another dispute over its Yield Enhancement Strategy.
December 20, 2021
FINRA Upholds Bar of Ex-Broker Caught Cheating on Series 24 ExamThe ex-broker and compliance officer for a firm in Texas allegedly wrote test information on his driver's license, fingers and forearm.