• ER

Greg Scott Hanshew- Former Infinity Financial Services Broker-Discloses Regulatory Event and Termination- Littleton, CO
Greg Scott Hanshew- Former Infinity Financial Services Broker-Discloses Regulatory Event and Termination- Littleton, CO 150 150 ER

Greg Hanshew Investigation July 2022- Littleton, CO The FINRA records of  Greg Scott Hanshew,   a  stockbroker previously employed by  Infinity Financial Services  disclose a regulatory event and a termination. The Financial…

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  • ER

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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  • ER

Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX
Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX 150 150 ER

Mark Menard Investigation July 2022- Houston, TX According to available records,  Mark Menard, a broker previously with Merrill Lynch, Pierce, Fenner & Smith, who now works for Cantella & Co.,…

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  • ER

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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  • ER

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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  • ER

Keith Todd Ashely- Former Parkland Securities Broker- Discloses a Pending Regulatory Event and a Termination from Employment-Allen, TX
Keith Todd Ashely- Former Parkland Securities Broker- Discloses a Pending Regulatory Event and a Termination from Employment-Allen, TX 150 150 ER

Keith Todd Ashley Investigation June 2022- Allen, TX According to publicly available records,  Keith Todd Ashley,  a currently unregistered  financial advisor who previously was employed by Parkland Securities discloses a…

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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • ER

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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  • Robert Rex, Esq.

Mark A. Thompson- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA
Mark A. Thompson- Former Arkadios Broker-Customer Seeks a Million in Damages Over Alternative Investment Losses-Atlanta, GA 150 150 Robert Rex, Esq.

Mark A. Thompson Investigation May 2022- Atlanta, GA The FINRA records of  Mark Alan Thompson ,   a  stockbroker who is employed by  Arkadios Capital  disclose a pending customer dispute. The Financial Industry Regulatory…

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