Enforcement Actions Administrative

In the Matter of the Dealer Registration of Penrod Financial Services, Inc.: Reprimanded and Fined

In the Matter of the Investment Adviser Representative Registration of Clifton Wayne Myers: Suspension

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 Whiskey Sky, LLC and Adrian Lamont Gunn: Emergency Cease and Desist Order

In the Matter of the Investment Adviser Representative Registration of Stephen Kwan: Suspension

In the Matter of KP Financial, LLC; Kevin Vu Pham; Daniel Ajwani; and Gerald Johnson: Order Affirming and Modifying Emergency Cease and Desist Order

In the Matter of the Investment Adviser Registration of Elysien Private Wealth and the Investment Adviser Representative Registration of Anthony Depasquale: Registration Denied and Undertaking

In the Matter of U.S. Energy Assets, LLC; Texas Victory Joint Venture: and Raymond Leslie Boykin aka Robert Leslie Boykin: Agreed Cease and Desist Order

In the Matter of Slotie NFT: Emergency Cease and Desist Order

In the Matter of the Dealer Registration of LPL Financial LLC: Fine and Undertaking