Enforcement Actions Administrative

Sep 7
2023

Order No. IC-23-CAF-06

In the Matter of the Dealer Registration of Titan Securities: Undertaking and Fined

Sep 7
2023

Order No. IC-23-CAF-05

In the Matter of the Investment Advisory Registration of Bison Investment, LLC: Undertaking, Reprimanded, and Fined

Sep 5
2023

Order No. IC-23-CAF-04

In the Matter of Agent Registration of Michael Delao: Suspended and Fined

Jun 30
2023

Order No. IC23-CAF-03

In the Matter of the Dealer Registration of Madison Avenue Securities, LLC: Fine & Undertaking 

Jun 28
2023

Order No. ENF-23-CDO-1874

In the Matter of Ellie Soto aka Ellie Palma aka Ellie Ramos: Agreed Order

Jun 15
2023

Notice of Hearing filed Against Plutus Financial, Inc. dba ABRA, Plutus Lending, LLC dba ABRA, ABRA Boost LLC and William John "Bill" Barhydt

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.

Jun 15
2023

Order No. ENF-23-CDO-1873

In the Matter of Plutus Financial, Inc. dba Abra, Plutus Lending, LLC dba Abra, Abra Boost LLC and William John "Bill" Barhydt: Emergency Cease and Desist Order

May 3
2023

Order No. ENF-23-CDO-1872

In the Matter of Horatiu Charlie Caragaceanu aka Horatiu Caraceanu, Horatu Cara and Charlie Caragaceanu; The Shark of Wall Street; and Hedge4.ai: Emergency Cease and Desist Order 

Apr 27
2023

Order No. IC-23-CAF-02

In the Matter of the Agent Registration of Paul Prasifka: Reprimanded and fined

Apr 17
2023

Order No. ENF-23-CDO-1871

In he Matter of Nexo Capital, Inc.: Consent Order