Katy Securities Agent Fined for Disclosure Failures
Austin, Texas
   
 
More Today's News:
ߦ   Brazilian Couple Convicted for International Kidnapping of Grandson
ߦ   Coast Guard interdicts lancha crew illegally fishing US waters
ߦ   Foreign Cyber Actors Target Home and Office Routers and Networked Devices Worldwide
ߦ   National Missing Children’s Day 2018
ߦ   Off-duty officer charged with murder in connection with shooting death of off-duty deputy brother
ߦ   4 Injured In South Houston Apartment Fire
ߦ   5 of 6 State Prisoners Were Rearrested Within 9 Years Of Release
ߦ   Body cam footage shows police shootout at Trump resort
ߦ   Burnet County Sheriff's Office - Inmate/Arrests Summary
ߦ   Cardenas Jr. Convicted of Firearms Charge and Impersonating US Marshal
ߦ   DA wants Home Depot shooting suspect put to death for Dallas officer's slaying
ߦ   DPS Remembers Fallen Officers at Memorial Service
ߦ   Homicide and Gang units work together to identify juvenile Homicide suspects
ߦ   Jasper Family Sentenced in DETCOG Conspiracy
ߦ   Man charged with murder after wife's burning body found
ߦ   Man who ambushed SC LEOs, killing 1, agrees to life sentence
ߦ   Mentor at Fort Bend County Juvenile Facility accused of indecency with child
ߦ   Paris Police Dept - Daily Activity/Arrests Summary
ߦ   Pets Perish In Home Fire
ߦ   PHOTO RELEASE: Governor Abbott Holds First Roundtable Discussion On Improving School Safety In Texas
ߦ   Prepare For 2018 Hurricane Season
ߦ   VIDEO: Firefighters Take Cover As Active Shooter Is Finally Taken Out
ߦ   WANTED: Reward Offered For Suspects Responsible For Trooper's Death
ߦ   Woman released from hospital after surviving ex's rampage that left her 3 children and boyfriend dead
ߦ   2 off-duty NYPD officers, 1 a groom on wedding day, die in crash
ߦ   Baltimore County police officer killed after confrontation; police searching for four suspects
ߦ   Dallas officer wounded in shooting gets police escort after hospital release
ߦ   Formal Charging Document Against Santa Fe Shooter
ߦ   Investigation into Shooting at 10901 Telephone Road
ߦ   Man who killed LEO daughter, daughter-in-law, suffered mental illness
ߦ   Officer Ryan Johnson HPD Funeral
ߦ   Register for Continuing Education Courses
ߦ   School officer who shot school gunman gets ovation at graduation
ߦ   Son Of Santa Fe Victim Was One Of The Officers Who Rushed to The Scene
ߦ   Suspect Arrested, Charged in Crash at 12300 Gulf Freeway

   Next >>
 
Search Archives:


Texas Securities Commissioner Travis J. Iles entered a Disciplinary Order Nov. 21 that levied a $3,000 fine on Octavio Tovar, a securities agent in Katy, for not disclosing compromises with creditors and civil judgments against him.

The order also reprimanded Tovar and granted his registration as an agent of Mid Atlantic Capital Corp.

The application for securities industry registration requires an individual to disclose compromises with creditors and unsatisfied judgments or liens.

Tovar did not disclose in a timely manner three compromises with creditors reached in 2015 and 2016. He also did not disclose two civil judgments entered against him in 2015 and 2016.
Post a comment
Name/Nickname:
(required)
Email Address: (must be a valid address)
(will not be published or shared)
Comments: (plain text only)
Printer Friendly Format  Printer Friendly Format    Send to a Friend  Send to a Friend    RSS Feed  RSS Feed
  Facebook   Share link on Twitter Tweet  
© 1999-2018 The Police News. All rights reserved.