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SEC Investment Advisers: Texas says "April Fools!" to Federal Preemption? | Winstead PC

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On April 1, 2021, the Texas State Securities Board (TSSB) announced the entry of a Consent Order against an SEC registered investment adviser named Independent Financial Group, LLC (“Independent”). The TSSB’s action may represent a large shift in investment adviser regulation and enforcement considerations for SEC-registered investment advisers.
(Emphasis on “may.”)
The Investment Advisers Act of 1940 is commonly understood to significantly limit states’ application of their securities laws as to SEC registered investment advisers.
Specifically, Section 203A(b) of the Investment Advisers Act states that “No law of any State or political subdivision thereof requiring the registration, licensing, or qualification as an investment adviser…shall apply to any person” that is registered with the SEC. However, Section 203A(b) goes on to confirm that the preemption discussed in the subsection ....

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Texas State Securities Board Issues Consent Order Against SEC Investment Adviser

Texas State Securities Board Issues Consent Order Against SEC Investment Adviser
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

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Vida Longevity Investors Represented by Goldman Scarlato & Penny Attorneys File Suit Against Vida Companies, Affiliates, and Former Executive

Vida Longevity Investors Represented by Goldman Scarlato & Penny Attorneys File Suit Against Vida Companies, Affiliates, and Former Executive
apnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from apnews.com Daily Mail and Mail on Sunday newspapers.

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Former ELD Holdings worker allegedly denied promised shares, suit claims

HOUSTON A former ELD Holdings employee claims she was terminated for no reason and denied the eligible company shares according to her compensation package.
Cherry Wilkins filed a complaint March 10 in Harris County District Court against ELD Holdings Inc. and Efrain Davis, Jr., alleging breach of fiduciary duty, fraud, violation of the Texas Securities Act, negligence and other claims.
According to Wilkins complaint, during her employment with ELD, Davis, the company s manager, director and majority owner, transferred ELD shares to her as part of her compensation package. She claims ELD terminated her employment in August of 2020 without cause and failed to give her the full portion of shares she was entitled. ....

United States , Harris County , Christopher Thornhill , Efrain Davis Jr , Holdings Inc , Harris County District Court , Thornhill Law Firm , Efrain Davis , Texas Securities Act , Southeast Texas Record , ஒன்றுபட்டது மாநிலங்களில் , ஹாரிஸ் கவுண்டி , கிறிஸ்டோபர் முள் , ஏப்றைந் டேவிஸ் ஜூனியர் , ஹோல்டிங்ஸ் இன்க் , ஹாரிஸ் கவுண்டி மாவட்டம் நீதிமன்றம் , முள் சட்டம் நிறுவனம் , ஏப்றைந் டேவிஸ் , டெக்சாஸ் பத்திரங்கள் நாடகம் , தென்கிழக்கு டெக்சாஸ் பதிவு ,

5th Circ. Told To Allow Stanford Ponzi Victims Into Suit

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5th Circ. Told To Allow Stanford Ponzi Victims Into Suit
Law360 (October 7, 2020, 10:45 PM EDT) The Fifth Circuit was told it should undo a lower court s ruling and allow 147 duped investors to intervene in a lawsuit seeking monetary damages from banks that facilitated R. Allen Stanford s Ponzi scheme because the Official Stanford Investors Committee doesn t have standing to pursue their Texas Securities Act claims.
Circuit Judge E. Eugene Davis repeatedly asked attorneys for both sides to explain how the court s 2019 ruling in Zacarias v. Stanford International Bank should factor into its decision here. In that case, the court upheld receiver settlements against two insurance brokers for a combined $133 million, rejecting arguments from investor. ....

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