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Allstate Financial Services

Charles Burchard-Former Allstate Financial Broker-Barred from Securities Industry-Spring, TX
Charles Burchard-Former Allstate Financial Broker-Barred from Securities Industry-Spring, TX 150 150 Rex Securities Law

December 2020-Spring, TX According to publicly available records, former Allstate Financial Services, Inc.  financial advisor Charles Don Burchard has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…

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Charles D. Burchard-Former Allstate Finanical Advisor- Barred From Securities Industry by Regulator-Spring, Texas
Charles D. Burchard-Former Allstate Finanical Advisor- Barred From Securities Industry by Regulator-Spring, Texas 150 150 Rex Securities Law

November 2020- Spring, TX According to publicly available records  Charles Don Burchard , a former stockbroker who last worked for   Allstate Financial Services ,  discloses that he was recently permanently…

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Patrick Phillips-Allstate Financial Services Broker-Discloses Regulatory Event and a Customer Dispute-Amarillo, TX
Patrick Phillips-Allstate Financial Services Broker-Discloses Regulatory Event and a Customer Dispute-Amarillo, TX 150 150 Rex Securities Law

May 2020-Amarillo, TX According to publicly available records of Patrick H. Phillips, Jr.  (CRD#1021928) ,  a  stockbroker with Allstate Financial Services  discloses  a regulatory event and a customer dispute. The Financial…

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Mauricio Borja- Former Allstate Financial Services Broker Barred From Securities Industry-McAllen, TX
Mauricio Borja- Former Allstate Financial Services Broker Barred From Securities Industry-McAllen, TX 150 150 Rex Securities Law

April 2020-McAllen, TX The FINRA records of Mauricio Borja, a broker previously employed  by  Allstate Financial Services, disclose  a regulatory event resulting in his bar from the securities industry. The Financial Industry…

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Allstate Financial Services Broker Discharged/ Sanctioned by Regulators- Griffin, Georgia
Allstate Financial Services Broker Discharged/ Sanctioned by Regulators- Griffin, Georgia 150 150 Rex Securities Law

January 13, 2016- Griffin, Georgia Stanley Ball entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was registered with Allstate…

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Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois
Allstate Finanical Stock Broker Sanctioned for Failing to Report IRS Liens-Melrose, Illinois 150 150 Rex Securities Law

October 13, 2015 Jose Luis Rodriguez , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully violated FINRA by-laws…

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Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry
Allstate Financial Services Broker in Lexington, SC, Barred from Securities Industry 150 150 Rex Securities Law

October 6, 2015 – Lexington, SC Joseph Murry Snyder, III  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…

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Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL
Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL 150 150 Rex Securities Law

August18, 2015, Mark Brian Quimby,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…

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Allstate Financial Services Broker Barred For Falsifying Insurance Applications
Allstate Financial Services Broker Barred For Falsifying Insurance Applications 150 150 Rex Securities Law

June 23, 2015 Michael G. Seidel  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  submitted falsified applications…

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