Tag Archives: Parkland Securities complaint

Keith Ashley-Parkland Securities Broker/ Allen Brewery Owner-Charged with Murder of Client-Carrollton, TX

November 2020- Dallas, TX 

ASHLEY ACCUSED OF MURDERING CLIENT AND STAGING COVERUP TO LOOK LIKE SUICIDE

According to  Fox4 KDFW news, Nine Band Brewing owner and former Parkland Securities financial advisor Keith Ashley has been charged with staging the murder of a client to look like suicide in order to gain control of the client’s finances.

The murder of 62 year old Jim Seegan happened in Carrollton in February. His wife discovered him upon returning home with a gunshot to his head and a typed suicide note.

According to the arrest affidavit, things did not look right from the outset.  The gun was in Seegan’s left hand, however he is right handed and was not a gun owner.  During the investigation over the past 9 months, detectives found evidence that Ashley had drugged Seegan and then murdered him in order to gain control over his money.

Investigators report that Ashley was captured by a doorbell camera entering and leaving Seegan’s house on the day of his death. In addition the camera recorded a unknown loud noise while Ashley was in the house. Forensics have determined the noise was gunfire.

In addition to owning the brewery in Allen, Ashley owns North Texas Money Management. He is also a registered nurse with access to and training on how to use the drug located in Seegan’s system.

According to investigators Seegan had several million in life insurance coverage and 3 weeks before the murder the beneficiary was changed from Seegan’s wife to Ashley.

Investigators believe Ashley was operating a Ponzi Scheme and that there are more victims.

According to his FINRA record  Keith Todd Ashley has been a stockbroker employed with Parkland Securities in Allen, TX, since 2002. He was discharged by Parkland Securities  in 10/2020 when they discovered he was engaged in undisclosed and unapproved outside business activities.

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.

If you had an account with Keith Ashley that suffered losses, or if you are a victim of his Ponzi Scheme,  you may be entitled to collect damages from his prior employer. 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Steven E. Love-Parkland Securities Broker-Subject of Arbitration Claim-Terre Haute, Indiana

March 2018-Terre Haute, Indiana

We recently filed FINRA Case #18-1047 on behalf of an 81 year old widow from Terre Haute, Indiana, who alleges that Parkland Securities (formerly Sammons Securities) stock broker Steven Eugene Love failed to follow her instructions to invest her retirement funds in safe, suitable investments.

The FINRA arbitration alleges that Parkland Securities failed to supervise Love and allowed him to invest a large percentage of our client’s retirement funds in high commission, illiquid, risky and non-publicly traded real estate investment trusts (REITs) and other alternative investments.

The arbitration claim seeks damages of $100,000-$500,000.

FINRA BrokerCheck records indicate that Love has been employed by Parkland Securities since 8/2013 and has a business affiliation with Love Financial Services. Love was discharged by Alanar Incorporated,  a prior employer,  in 2003 for inappropriate trade activity related to private placements.

If you have questions about an account handled by Steven E. Love, call for a no charge consultation to discuss your legal options.

Alternative investments include non publicly traded real estate investment trusts (REITS) , oil & gas partnerships and equipment leasing investments. These investments tend to be complex, illiquid, non transparent, hard to value and expensive. Many of these investments  are not traded on any public market making them difficult to value and even more difficult to liquidate if cash is needed for daily living or health related expenses.

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.

Nationwide Representation

Rex Securities Law

National Toll Free: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Delbert W. Carnes-Woodbury Financial Broker-Discloses Settlement with Customers & Outstanding Judgment-Colorado Springs

August 2016- Colorado Springs, CO

The FINRA records of Delbert W. Carnes ,  a  stock broker who is currently  employed by Woodbury Financial Services  disclose 5 prior customer disputes and a currently outstanding judgment.

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.

The prior finalized customer disputes include:

  • FINRA Case 14-02979 in which a customer of Carnes‘ prior employer, Parkland Securities (formerly Sammons Securities) alleged damages of $125,000 for inappropriate and misleading advice which resulted in an over concentration in unsuitable illiquid investments. That case was settled for $45,000.
  • FINRA Case 12-02470  in which a customer of Carnes‘ prior employer,  Sammons Securities alleged damages of $223,000 for misrepresentation, omission of facts, negligence and breach of fiduciary duty and failure to conduct adequate due diligence.That case was settled for $84,000.
  • FINRA Case 12-02220  in which a customer of Carnes‘ prior employer,  Sammons Securities,  alleged damages of $406,139 for misrepresentation, omission of facts, negligence and breach of fiduciary duty .That case was settled for $245,500.

Carnes discloses a currently outstanding lien in the amount of $132,993 in favor of First Citizens Bank & Trust, filed in District Court of Douglas County.

Carnes has been employed by  Woodbury Financial Services  since 7/2009.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870