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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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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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Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX
Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX 150 150 ER

Joe Allbright Investigation June 2022- Odessa, TX According to publicly available records,  Joe M. Allbright, a currently unregistered broker, who last worked for Farmers Financial Solutions in Odessa, TX ,  discloses a regulatory…

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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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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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  • Robert Rex, Esq.

Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX
Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX 150 150 Robert Rex, Esq.

Michael J. Giannetti Investigation May 2022-McKinney , TX  According to publicly available records Michael J. Giannetti, a former broker who last worked for  MML Investors Services,  discloses a final regulatory matter resulting…

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Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX
Jack “JJ” Jones- Triad Advisors Broker- Discloses Customer Disputes & Regulatory Sanction -Houston, TX 150 150 ER

Jack “JJ” Jones Investigation May 2022- Houston, TX  According to publicly available records, Jack Lewis “JJ” Jones, a Triad Advisors broker discloses a regulatory sanction, 2 prior customer disputes and…

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  • Robert Rex, Esq.

Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX
Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX 150 150 Robert Rex, Esq.

Gregg Ferguson Investigation May 2022- Bellville, TX  According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…

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Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA
Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA 150 150 ER

Derek Johnson Investigation                 THIS POST UPDATED JULY 2025-FOLLOW LINK May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P.…

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