SEC Fort Worth
@FortWorth_SEC
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The SEC Fort Worth Office covers TX, OK, AR, KS. Disclaimer: https://t.co/qfwx4ibWHg
Fort Worth, TX
Joined July 2014
Outreach alert! SEC-Fort Worth’s Sandra Gonzalez and Melvin Warren spoke with attendees at the 2022 @Prospanica Conference & Career Expo about careers at the SEC. Interested in a career at the SEC? Look 👉 https://t.co/Rg1csWoJMo
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Enforcement Alert! We’ve charged two men and their companies for running an unregistered broker-dealer that allegedly facilitated more than $1.2 Billion in securities trades, mostly in penny stocks. https://t.co/POg4d0Uwet
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Our region is home to over 150,000 active duty service members and their spouses, many who manage their family’s finances, especially during deployments. If that’s you, check out our guide for military spouses 👉 https://t.co/89aR0fvScN
#MilitaryFamilyMonth
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It’s Fraud Awareness Week, when we highlight the ways businesses and people can prevent fraud. Our guide, How to Avoid Fraud, is a great place to start: https://t.co/30JS5kt4cD
#FraudWeek
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Metaverse users beware! Our colleagues @TxSSB and two other state securities regulators filed actions last month to stop fraudulent investment offerings in securitized NFTs tied to the Metaverse.
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Our region is home to nearly half a million Native Americans who have been instrumental in shaping our community, so we’re proud to celebrate #NativeAmericanHeritage Month!
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ICYMI: We issued our first #whistleblower award of the fiscal new year last week: $10M to a person whose info was critical to the underlying investigation. That brings total whistleblower awards to more than $1.3B since 2012, paid to 282 individuals. https://t.co/hUGXfL52m2
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The SEC has adopted rules requiring mutual funds and ETFs to make shareholder disclosures more user-friendly by providing concise, tailored reports highlighting key information like fund expenses, performance, and portfolio holdings. Read the Fact Sheet: https://t.co/UpKwGkQvnv
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Texas #BrokerDealers: This #CyberSecurityAwarenessMonth, revisit our Risk Alert on Safeguarding Client Accounts against Credential Compromise, which lists steps firms can take (like multifactor authentication) to protect their clients. More info here 👉
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Texas Investment Advisers: We've issued a Risk Alert about Examinations Focused on the New Investment Adviser Marketing Rule. Key initial areas of examination: ➡️Policies & Procedures ➡️Substantiation ➡️Performance Advertising https://t.co/uULgBIVUxb
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Enforcement alert! SEC charges Dallas CPA with insider trading in stock of public company for which he was working as a contract accountant. The takeaway: Insider trading rules can apply to contract workers too! https://t.co/0udSvSa0v0
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We ❤️ Elder Investors! SEC-Fort Worth's Sandra Gonzalez, Jonathan Britt, and Barbara Gunn discussed retirement saving and protecting against investment fraud with attendees at the Mid-Cities Senior Expo in D-FW and the Second Half Expo in OK City (with @OKSecurities).
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We recently charged a well-known celebrity for illegally touting an investment. Hear more from Chair @GaryGensler @SECGov on the risks of investing based on celebrity endorsements. https://t.co/fiCq1S5HYR
Today @SECGov, we charged Kim Kardashian for unlawfully touting a crypto security. This case is a reminder that, when celebrities / influencers endorse investment opps, including crypto asset securities, it doesn’t mean those investment products are right for all investors.
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Our colleagues @FINRA caution #BrokerDealers to be alert for fraudulent account transfer requests using customers’ stolen personal information. https://t.co/KQVL4lDoVO
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It’s #CybersecurityAwareness Month and the cyber experts @CISAgov offer free advice and toolkits for fending off cyberattacks and protecting YOUR information ➡️ https://t.co/iVa2HNJe4E
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Closing out #WorldInvestorWeek, many thanks to our Sandra Gonzalez, Stacy Salazar, and Greg Hayes for presenting ‘Financial Guidance for Adults’ this week at events in Hurst, Texas!
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More Senior Investor Outreach! SEC-Fort Worth’s Sarah Mallett and Nikolay Vydashenko shared info and answered questions with senior investors at the Dallas Senior Expo last week. It was a great event with great attendees! #WorldInvestorWeek
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Kicking off this #WorldInvestorWeek, our own Kim Shaw and Cary Severt presented at @CityOfArlington ‘s Aging Well Expo, geared toward the physical, mental, and financial well-being of those aged 50 and above. #WorldInvestorWeek
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This #WorldInvestorWeek, SEC-Fort Worth highlights its outreach to senior investors to help them and their families plan for their unique financial needs and to guard against fraud. We’ve got more resources here:
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