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Brokerage Firms

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX 150 150 Rex Securities Law

George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of  George M. Warner ,  a  former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…

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Bill Woods -Former Raymond James Broker-Discloses over $3M in Pending Customer Dispute-Chattanooga, TN

Bill Woods -Former Raymond James Broker-Discloses over $3M in Pending Customer Dispute-Chattanooga, TN 150 150 ER

      Bill Woods aka                  William Forrest Winchester Investigation June 2022- Chattanooga, TN According to publicly available records Bill Woods (aka…

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Alicia Chester- Former BBVA Securities Broker-Barred From Securities Industry by Regulators and Termination from Employment-Southlake, TX

Alicia Chester- Former BBVA Securities Broker-Barred From Securities Industry by Regulators and Termination from Employment-Southlake, TX 150 150 ER

Alicia Chester Investigation June 2022-Southlake, TX  According to publicly available records Alicia Chester a currently unregistered broker who last worked for BBVA Securities,  discloses a final regulatory matter resulting in a…

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Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX

Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX 150 150 ER

Chris McFadden Investigation June 2022- Dallas, TX According to publicly available records,  Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX ,  discloses…

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Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX

Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX 150 150 ER

Tobin  Hoffmann Investigation June 2022- New Braunfels, Texas According to publicly available records Tobin Carl Hoffmann, an Ameritas Investment Company broker, discloses a pending customer dispute. The Financial Industry Regulatory…

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Travis Eiland- Former HD Vest Investment Services Broker-Barred From Securities Industry by Regulators, Facing $300K Suit- Baytown, TX

Travis Eiland- Former HD Vest Investment Services Broker-Barred From Securities Industry by Regulators, Facing $300K Suit- Baytown, TX 150 150 ER

Travis Eiland Investigation June 2022-Baytown, TX  According to publicly available records Travis Eiland a currently unregistered broker who last worked for HD Vest Investment Services (Avantax),  discloses a pending customer dispute and a…

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Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX

Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX 150 150 ER

Frank Mathis Investigation June 2022-Westlake , TX  According to publicly available records Frank Mathis, a former broker who last worked for  Fidelity Brokerage Services,  discloses a final regulatory matter resulting in…

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Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX

Eric C. Willer-Former Fusion Analytics Securities Broker-Suspended by Securities Regulators-Dallas, TX 150 150 Rex Securities Law

Eric Willer Investigation June 2022- Dallas, Texas According to publicly available records Eric C. Willer , (CRD# 2263899 ) ,  a  stockbroker who formerly worked  with Fusion Analytics Securities   discloses a regulatory suspension. The Financial…

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Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ

Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ 150 150 Rex Securities Law

Francisco Valenzuela Investigation June 2022- Phoenix, AZ  According to FINRA records,  Francisco J. Valenzuela ,  a former broker  who previously worked for Morgan Stanley , discloses 2 regulatory events,  4 prior…

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