Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX

Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX

Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX 150 150 Rex Securities Law

Gregory F. Estes Investigation

July 2021 -San Angelo, TX

The FINRA records of Gregory F.  Estes  , a stockbroker who is not currently registered with any broker dealer, and who was last employed by SA Stone Wealth Management,   disclose a regulatory event, a pending criminal event, 3 prior criminal events, 2 prior customer disputes and a termination from employment.

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 as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 1/2021 Estes was charged with indecency with a child by contact in the 104th District Court of Taylor County, TX. This matter is currently pending.

In 7/2003 the Texas insurance commissioner suspended Estes for ten years as the result of a felony conviction of attempted sexual assault. The suspension was prorated under the conditions that Mr. Estes be subject to additional reporting requirements and comply with probation requirements.

In 12/2001 Estes was charged with attempt to commit sexual assault In Tom Green County, TX. This felony charged was dismissed in 10/2002.

In 1/2013 Estes was charged with continuous sexual abuse of a child in Taylor County, TX. This charge was dismissed in 1/2013.

In 5/2016 a customer of Sterne Agee Financial Services, Inc., filed a complaint alleging that Estes breached his fiduciary duties as financial advisor to the trustee of a trust which petitioner is the beneficiary, resulting in a loss of value.    The case was settled for $95,000.  Estes was personally responsible for $12,500 of that settlement.

Estes was employed with SA Stone Wealth Management from 6/2012-1/2021.    He was employed by Synergy Investment Group in 8/2004, however he was discharged by Synergy Investment Group in 3/2006 for “failure to follow heightened supervision procedures”.

Estes discloses business affiliations with Sidener Estes Bowden Co. located in San Angelo, TX; Synergy Insurance Group located in Kannapolis, NC and Specialty Management of Abilene, located in Abilene, TX.

If you have questions about an account handled by Greg Estes call for a no charge consultation with an experienced securities attorney.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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