§ 4007.201 Unauthorized Sale of Securities; Offense
§ 4007.202 Unauthorized Rendering of Services as Investment Adviser or Investment Adviser Representative; Offense
§ 4007.203 Fraudulent Conduct; Offense
§ 4007.204 Materially False Statement in Document or Proceeding; Offense
§ 4007.205 False Statement or Representation Concerning Registration; Offense
§ 4007.206 Violation of Cease and Desist Order; Offense
§ 4007.207 Noncompliant Offer or Offer Prohibited by Cease Publication Order; Offense
§ 4007.208 Aggregation of Amounts
§ 4007.209 Liability of Corporation
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Terms Used In Texas Government Code Chapter 4007 > Subchapter E - Criminal Provisions

  • Annuity: A periodic (usually annual) payment of a fixed sum of money for either the life of the recipient or for a fixed number of years. A series of payments under a contract from an insurance company, a trust company, or an individual. Annuity payments are made at regular intervals over a period of more than one full year.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • Decedent: A deceased person.
  • Fraud: Intentional deception resulting in injury to another.
  • Property: means real and personal property. See Texas Government Code 311.005
  • Remainder: An interest in property that takes effect in the future at a specified time or after the occurrence of some event, such as the death of a life tenant.
  • Rule: includes regulation. See Texas Government Code 311.005
  • Settlement: Parties to a lawsuit resolve their difference without having a trial. Settlements often involve the payment of compensation by one party in satisfaction of the other party's claims.
  • Written: includes any representation of words, letters, symbols, or figures. See Texas Government Code 311.005