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texas securities attorney

Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK

Greg McKinney- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators, Facing $1M Suit- Tulsa, OK 150 150 ER

Greg McKinney Investigation July 2022-Tulsa, OK According to publicly available records James Gregory McKinney a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter, a pending customer dispute, 7…

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Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL

Scott Levine- Former Ascendiant Capital Markets Broker-Barred From Securities Industry by Regulators -Lake Worth, FL 150 150 ER

Scott Levine Investigation July 2022-Lake Worth, FL According to publicly available records Scott H. Levine a former broker who last worked for Ascendiant Capital Markets,  discloses a final regulatory matter resulting…

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Philip Riposo- Former United Planners’ Financial Services Broker-Barred From Securities Industry by Regulators -Scottsdale, AZ

Philip Riposo- Former United Planners’ Financial Services Broker-Barred From Securities Industry by Regulators -Scottsdale, AZ 150 150 ER

Philip Riposo Investigation July 2022-Scottsdale, AZ According to publicly available records Philip Riposo a former broker who last worked for United Planners’ Financial Services,  discloses a final regulatory matter resulting in a…

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Robert Turner-Former UBS Financial Services Broker-Discloses over $5.5M in Settlements -Waco, TX

Robert Turner-Former UBS Financial Services Broker-Discloses over $5.5M in Settlements -Waco, TX 150 150 ER

Robert Turner Investigation July 2022- Waco, Texas According to publicly available records Robert Turner , (CRD# 2113736 ),  a  stockbroker who formerly worked  with UBS Financial Services, Inc.   discloses 4 prior customer…

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Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX

Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX 150 150 ER

Jon Scheier Investigation July 2022-Denison , TX  According to publicly available records Jon Scheier , a former broker who last worked for Edward Jones,  discloses a final regulatory matter resulting in a…

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Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX

Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX 150 150 ER

Robert Mooney Investigation July 2022-Forney, TX According to publicly available records Robert Wayne Mooney a currently unregistered broker who last worked for Allstate Financial Services,  discloses a final regulatory matter resulting…

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Diane Simmons- Former Horace Mann Investors Broker-Barred From Securities Industry by Regulators and Termination from Employment-Ovilla, TX

Diane Simmons- Former Horace Mann Investors Broker-Barred From Securities Industry by Regulators and Termination from Employment-Ovilla, TX 150 150 ER

Diane Simmons Investigation July 2022-Ovilla, TX  According to publicly available records Diane Marie Simmons a currently unregistered broker who last worked for Horace Mann Investors,  discloses a final regulatory matter resulting in…

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Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX

Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX 150 150 Rex Securities Law

June 2022- Fort Worth, TX According to publicly available records,  Perry S. Abbonizio, a former registered investment  advisor and stockbroker  , was recently named in a complaint filed by the…

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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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