MURRAY SECURITIES, INC. of TYLER, TX is an SEC-registered investment adviser (CRD 142783). Regulatory assets under management: $116.6M.
Compensation: % of AUM.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Gary Vonn Murray | PRESIDENT/CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-04-08 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF THE FINDINGS THAT IT WILLFULLY VIOLATED RULE 15L-1(A)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 BY FAILING TO ESTABLISH WRITTEN POLICIES AND PROCEDURES, AND A SUPERVISORY SYSTEM, REASONABLY DESIGNED TO… | Final | $35K |