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Monthly Archives :

February 2017

Michael J. Spears-IMS Securities Broker-Discloses Two Pending Customer Disputes Involving REITs-Houston
Michael J. Spears-IMS Securities Broker-Discloses Two Pending Customer Disputes Involving REITs-Houston 150 150 Rex Securities Law

February 2017-Houston, Texas According to publicly available records Michael J. Spears , (CRD# 4501523) ,  a  stockbroker who is currently registered with IMS Securities  discloses two pending customer disputes.  The Financial Industry Regulatory Authority (FINRA) is…

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Christian L. Webb-Former LPL Financial Broker-Discloses Termination-Austin, TX
Christian L. Webb-Former LPL Financial Broker-Discloses Termination-Austin, TX 150 150 Rex Securities Law

OCTOBER 2017 UPDATE-Christian Webb is not currently registered as a broker. See this for more.  November 2016-Austin, Texas According to publicly available records Christian L. Webb , (CRD# 1161075) ,  a  stockbroker who is…

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Daryl E Allison-Former Lowell & Co. Broker-Sanctioned by Securities Regulator-Lubbock, TX
Daryl E Allison-Former Lowell & Co. Broker-Sanctioned by Securities Regulator-Lubbock, TX 150 150 Rex Securities Law

December 2016-Lubbock, Texas According to publicly available records Daryl Eugene Allison , (CRD# 3686) ,  a  stockbroker who is registered with Lowell & Company, has been permanently barred by FINRA from engaging in principal…

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Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX
Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX 150 150 Rex Securities Law

North Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…

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From Securities Regulator-List Of Things Your StockBroker Is Prohibited From Doing
From Securities Regulator-List Of Things Your StockBroker Is Prohibited From Doing 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well…

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William F. Albin-former Waddell & Reed Broker-Discloses Discharge
William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Rex Securities Law

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

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Leighton Stallones-Hilltop Securities Broker-Discloses Pending Customer Dispute-San Marcos, TX
Leighton Stallones-Hilltop Securities Broker-Discloses Pending Customer Dispute-San Marcos, TX 150 150 Rex Securities Law

January 2016- San Marcos, Texas According to publicly available records Walter L. (Leighton) Stallones , (CRD# 433344) ,  a  stockbroker who is currently employed by Hilltop Securities,  disclose that he is the subject of one pending…

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Douglas L. Hodges-Hilltop Securities-Discloses Pending FINRA Examination-Dallas, TX
Douglas L. Hodges-Hilltop Securities-Discloses Pending FINRA Examination-Dallas, TX 150 150 Rex Securities Law

UPDATE-7/2017– FINRA fined Douglas L. Hodges $5,000 and suspended him for 15 business days, ending 8/4/2017 to resolve the FINRA examination discussed below. January 2016- Dallas, Texas According to publicly…

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Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston
Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston 150 150 Rex Securities Law

February 2017- Houston, Texas The Texas State Securities Board (TSSB) sanctioned  Robert Yrshus (CRD# 858876) of Houston, Texas,  suspending him for 60 days and assessing an administrative fine of $5,000. According to the…

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