Texas State Securities Board

One Dallas Investment Adviser Suspended, A Second Ordered…

Texas Securities Commissioner Travis J. Iles on June 6 sanctioned two Dallas investment adviser representatives for selling unsuitable investments to clients. The Commissioner suspended investment adviser representative Mark A. Trewitt for 90 days for selling unsuitable investments to clients,…

FCA

FCA Confirms New Rules for P2P Platforms

Following consultation, the Financial Conduct Authority (FCA) is introducing rules designed to prevent harm to investors, without stifling innovation in the (peer-to-peer) P2P Platforms. When the FCA set its first rules for P2P, it committed…

Texas State Securities Board

In A Self-Directed IRA, Make Sure You’re Not…

Investing for retirement usually means buying stocks, bonds, and mutual funds through a workplace retirement plan like a 401(k) or in your own IRA (Individual Retirement Account). If you want to buy riskier assets for your retirement…