News Releases

Aug 6
2020

Consent Order Entered Resolving Unregistered Activity

The State Securities Board and Solium Financial Services, LLC resolved the firm’s unregistered dealer activity over an extended period of time with the entry of a consent order . Solium agreed to comply with the provisions of Section 12.A of the Texas Securities Act .

This matter was...

Enforcement Actions: Administrative

Jul 23
2020

Order No. ENF-20-CDO-1815

In the Matter of Advanced Wellness Services, LLC dba WellnessTech Healthtm, Recovery Management International, and Randall "Randy" Johnson: Order Modifying Emergency Cease and Desist Order ENF-19-CDO-1775

 

Jul 16
2020

Order No. ENF-20-CDO-1814

In the Matter of Mind Capital AKA Mind Capital OÜ AKA Mind Capital Tech SL; Gonzo Garcia-Pelayo; Oscar Garcia-Pelayo; Rubén Arcas; Manual Arniz; Cristina Kelly Lopez’ Alejandro Mejía; and Craig Kintzel

Enforcement Actions: Criminal & Civil

Jun 17
2020

Tommie “Tom” Carter Jr: Arrested

On June 17, Tommie “Tom” Carter Jr., from central Texas, was arrested after being charged with securities fraud, theft, misapplication of fiduciary property and money laundering as part of a white-collar criminal investment scheme.

Carter allegedly sold investments referred to as the...

Jun 3
2020

Richard Leal Ferguson: Arrested

On June 3, 2020, Richard Leal Ferguson was arrested on charges of securities fraud and theft . He was also arrested and charged with aggravated sexual assault of a child. He was confined in the Cameron County Jail and his bond was set, collectively, at $700,000.00.

Ferguson is already...

Publications

Salute to Smart Investing cover

A Salute to Smart Investing

To help active military members achieve financial security, Salute covers investment "basic training," retirement planning, avoiding scams – and much more

 

It's Your Financial Life cover

It's Your Financial Life

Young workers of the world, invest! Your Financial Life cuts through the thicket of financial jargon and products as you begin managing your own finances.